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
investment is usually exposed to relatively high risk from price volatility https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9126 < > > < > > Previous First 5 6 7 8 ... Last Next
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
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
://publish.sec.or.th/nrs/9697p.xlsx QAQR-04.xlsx assurance that it is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or risky industry? - Finance and
is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or risky industry? - Finance and Securities - Banking - Digital Assets https
/esubmission_report_list_phase2.xlsx QAQR-04.xlsx assurance that it is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or risky industry? - Finance and Securities
that it is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or risky industry? - Finance and Securities - Banking - Digital Assets https