Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment

bond liquidity, investors’ knowledge on debt securities, intermediaries and market professionals’ duty performance, the development of shared infrastructures and market database, and high-risk debt

situation The Center for COVID-19 Situation Administration (CCSA) has announced the measures to mitigate Phase 3 starting on 1st June 2020 by re-open moderate to high risk businesses and activities which

PERIODICALLY CONDUCT HUMAN RIGHTS IMPACT ASSESSMENT IN HIGH RISK OWN OPERATIONS AND TIER 1 SUPPLIER EDUCATION & INEQUALITY REDUCTION 36 MILLION PEOPLE SUPPORTED THROUGH EDUCATION, LIFELONG LEARNING, AND

Capital Market Business (No. 7) dated 30 August 2017.   **  Investment consultant on non-complex products in the capital market and investment units or debt securities having high-risk or complex

for mutual funds in general. Risk Level Low 1 2 3 4 5 6 7 8 High Highly risky Investing primarily in equities at an average of not less than 80% of NAV in an accounting period The mutual fund risk level

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

who is able to provide consultation to investors on capital market products not having complex characteristics as well as the product having high-risk or complex characteristics.  

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