procedure for selling of high risk securities such as suitability test, key information disclosure and warning of the securities? high risks or complexity.? Mr. Vorapol added.

may not be looking out for the investors’ long-term interests. /Or if they advertise short-term returns and promote high-risk funds, it will likely have funds with low investor returns. 24 © 2015

30 August 2017.** Investment Consultant of Complex Products Type 1 is approved to give investment advice on non-complex capital market products as well as all types of high-risk or complex products

plans and distribution of digital tokens, examine and ensure source code that matches the disclosed information, and identify investors’ identity, status and risk-taking ability.Once ICO portals are

listed companies.   Having strong CG could help lessen risk exposures, not specifically for market risk, as well as contribute to higher returns; in particular, less price fluctuation during economic

compete. One approach is to explore new lines of business other than their core securities and derivatives businesses. Such new businesses may have a higher investment value and a higher risk, or may not

borrowing and lending, and joint venture management. As a result, any intermediary wishing to operate only brokerage business, for example, would have to meet the high minimum paid-up capital rule despite its

Deputy Secretary-General said, ?At present, Thailand audit oversight has been developed and recognized at international level. The SEC has placed high emphasis on uplifting quality of audit work and

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