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
; “ capital market product having high-risk or complex characteristics ”5 means the following capital market products: (1) investment units having high-risk or complex characteristics including: (a) investment
Loan of Financial Institutions Act B.E. 2523 (1980), except as specified in Chapter 7; “capital market product” means securities and derivatives; “capital market product having high-risk or complex
with sufficient time to focus on the more complex and/or high-risk issues, another firm might assign the firm’s quality control system to audit personnel who specialized in this area in order to allow
that the firm considers as high risk? Please describe the relevant responses to these risks B1 Who is the ultimate shareholder(s) that have ultimate control of the audit firm, and;? B2 Who has the
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
annualized. 61 funds 7 significant at 5% 94 funds, Fee for return? Some evidence that funds with high expense ratio deliver higher net returns, but not on a risk-adjusted basis. Equity Mutual Funds
on non-complex capital market products as well as all types of high-risk or complex products. For example, investments units of mutual funds offered for sale to institutional investors or ultra-high