concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ client ” means user of an intermediary ’s services. “ Stock Exchange ” means the Stock Exchange of
by any issuer, or its agents, under the terms of a confidentiality agreement or otherwise under a mutual understanding that the information is shared confidentially. The Principles are high-level
local representative in Thailand Information as of XX XX XXXX Name of the ASEAN CIS Unit Class SRI Fund Class code Type of mutual fund Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile Explanation
amid high household debt, whereas public investment and the government’s budget disbursement were affected by a delay in the formation of a new government. Nevertheless, economic stability remained sound
the same period of last year and a decrease of 5.28% over the last quarter . Such decrease was mainly due to dropping in metal price and low level of production and sales. 2. Cost of sales was 384.25
having medium to high risk level without principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete
the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk
โอกาสของการระดมทุนแบบยั่งยืนในภูมิภาคอาเซียน (High-Level Roundtable on Green Finance Opportunities in ASEAN) ในหัวข้อบทบาทของผู้กำหนดนโยบาย ร่วมกับผู้บริหารระดับสูงจากหน่วยงานต่าง ๆ ที่เกี่ยวข้องจาก
the relevant regulation*. The SEC is also proposing to stipulate a minimum Authentication Assurance Level (AAL) for clients’ online transactions via the company’s system based on associated risks
company, (2) Be under the supervision of high-level management, (3) Have knowledge, ability and readiness to undertake the duty, and (4) Execute the duty by taking into consideration the benefits of