non-complex capital market products and complex or high-risk debt instruments or investment units, e.g., investment units of mutual funds offered to institutional or ultra-high net worth investors
quality assessment while the capital market has grown both in term of trading volume, a number of listed companies along with the introduction of new financial instruments and complexity of management
financial gaps and needs using internationally accepted instruments in order to identify target groups and policy areas to focus and to compare with countries in the region or internationally??Monitoring of
. Implementation of new financial reporting standards (group of financial instruments) The Bank and its subsidiaries adopted the TFRS 9 from January 1, 2020 onwards, without restating previous financial statements
take necessary actions for its clients to obtain the rights and benefits arising from any securities or instruments owned by the clients which are under its custody from the issuers of such securities or
from any securities or instruments owned by the clients which are under its custody from the issuers of such securities or instruments within an appropriate time. A securities company shall not declare
registered as a derivatives intermediary in the category of a derivatives agent; and “net exposure” means the net value of investments made, whether directly or indirectly, in instruments or agreements under
showing the fixed offer price in order for the investors to be aware of such information before subscribing for the instruments. Clause 18 The approved person shall make an initial offering of any
exchange rate risk; (2) The country and political risk; (3) The repatriation risk. In case of investment in the instruments of companies established and offering for sale in the Greater Mekong Subregion