Investor Return – Mind the Gap ©2015 Morningstar, Inc. All rights reserved. Kittikun Tanaratpattanakit Investor Return – Mind the Gap Agenda 2 gBackground g The Real Test is Whether Investors Succeed
characteristics that is likely to cause damages to investor or client, the derivatives trading system or the overall capital market: (a) seriously lack of business codes of conduct; (b) lack of sufficient
Investor type Customer relationship management Financial Literacy Financial Literacy Research Objectives 1. Clustering Thai investor types based on their investment portfolio allocation. 2. Investigates the
Approval for Investor Contacts In continuation of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct dated 21 June 2005 as amended by the
) 25/2550 Re: Guidelines for Renewal of Approval for Investor Contacts In continuation of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of
damages arising from or related to its use. ------------------------------- Notification of the Office of the Securities and Exchange Commission No. SorKhor. 49/2552 Re: Approval for Investor Contacts and
investor accounts More than 38,000 employees serving more than 33M customers worldwide 250,462 retirement plans served globally For Institutional/Investment Professional Use Only. Not for distribution to the
order to stimulate or reward the client to immediately [i] use offered services or [ii] invest in capital market products presented by the intermediary. “institutional investor”6 means an institutional