? pre-determined investment scope.The proposed rules have taken into consideration the public?s and stakeholders? comments and suggestions collected from the hearing on the guiding principles in last
Clause 33: (1) provide the client with educational documents, as determined by the SEC Office, about risky or complex capital market products in the type in which the client wishes to invest or enter into
specified under Clause 33: (1) provide the client with educational documents, as determined by the SEC Office, about risky or complex capital market products in the type in which the client wishes to invest
presented research paper on ?Saving for Retirement?. The researchers pointed out that saving and investment in risky assets at a young age is the key success factor of sufficient retirement savings while
permissible products are more complicated, risky and similar to those AIs have been allowed to invest domestically such as unrated bond and foreign sukuk. Moreover, all investors will have more investment
/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
/Documents/ca/Documents/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
ซับซ้อน (plain) และ/หรือ ตราสารที่ผู้ลงทุนมีความคุ้นเคย ในการลงทุนแล้ว (common) (2) ตราสารที่มีความซับซ้อน (complex) และ/หรือเสี่ยงสูง (risky) 1.1 หลักการในการแบ่งประเภท product ควรดูที่ความซับซ้อนของ