possibly changing market condition, the derivatives clearing house shall assess the appropriateness of the scenario, parameter and assumption used in the stress test on a quarterly basis or upon significant
” means giving advice or holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling
holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling derivatives contracts; 1
การดูแลตนเอง เช่น มีความรู้ ในการลงทุน มีฐานะทางการเงินที่รับความเสี่ยงจากการลงทุนได้ เป็นต้น โดยตวัแทนขายจะต้องท า suitability test1 รวมทั้งด าเนินการให้แน่ใจได้ว่า ผู้ลงทุนมีความเข้าใจในสินค้าที่จะ
Advisory or an Undertaking of Derivatives Business In the Category of Derivatives Investment Advisory ______________________ Whereas nowadays the giving of advice on the value or the suitability of
the product and receive sufficient information before making investment decision. Intermediaries must comply with know your customer/client due diligent rule and request investors to take suitability
Market Price (Enclosure 1) 1. Details of the offering, determination and appropriateness of the offering price and determination of the market price 1) Changing the subscription and payment date and time