, permissible to be offered to institutional investors and high net worth investors, either directly or through intermediaries. Due to the instruments? characteristics of high risk and complexity, the investment

Public Hearing System :: สำนักงานคณะกรรมกำกับหลักทรัพย์และตลาดหลักทรัพย์   แบบสำรวจความคิดเห็น Hearing Home      การอนุญาตให้จัดตั้งกองทุนรวมตราสารหนี้ที่มีความเสี่ยงสูง (High Risk Fixed-Income Fund

ratio was also close to the target of 42.31 percent. At the same time, our robust capital position was sufficient to cushion against risk, and greater than the Bank of Thailand’s requirement. As evidenced

.   The public should be aware that Tradenance Incorporation Limited is not on the SEC approved list or under the SEC supervision.Recently, there have been solicitors for investment in high-risk products

) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products and high-risk or complex products, i.e., derivatives, high-risk or complex of

investment exceeding 100% of NAV will be classified as high risk products and subject to additional regulations to mitigate risk of misselling; for instance, description of the worst case scenario for

conduct must be as strict as those imposed on the sale of high-risk products and the associated risks must be clearly disclosed;  (8)  Debt issuers must use the raised money to repay for the earlier

any country or any sector. For example, a higher-than-80-percent concentration in any sector would represent high risk. In addition, a risk warning statement would have to be printed on the cover of

internal audit plan in place by reviewing all departments’ operational risk management plans and prioritising them according to their risk level. The audit will focus on high risk/high impact areas and will