client. Comments and suggestions on the matter are welcome until March 30, 2012. The proposed regulation will require underwriter know individual client before selling client any product. For retail client
to certain types of personnel; for instance, wealth advisor who gives advice on asset allocation and selects suitable securities for individual client, investment analyst, and fund manager, in
provident funds with the objective other than hedging. Management companies will also be allowed to control investment proportion in derivatives either on an individual member basis or on a fund basis
funds), excluding equity funds. The amendments aim to ensure proper unit allocation and prevent any undue benefit by any particular individual. For example, the revisions require any person or group of
Even though the Thai financial system remains strong, with commercial banks holding healthy levels of capital and liquidity reserves, the liquidity stress and the resulting irregularity in the
clearing house shall regularly assess the adequacy of the value of the financial resources for covering credit risk and liquidity risk, by at least conducting the following tests: (1) a daily stress test
, by at least conducting the following tests: (1) a daily stress test using the scenario, parameter and assumption conforming to the guideline approved by the risk management committee which shall cover
liquidity management tools, and stress test on liquidity risk according to international standards. On 20 October 2020, the Capital Market Supervisory Board Meeting No. 17/2563 passed a resolution
several days. When the client ordered to sell the securities actually sold by {A}, he instead sent the selling order for other securities of the client. {A} admitted that job stress caused him to decide to
ได้ และเปิดเผยในหนังสือชี้ชวน รวมทั้งต้องมีระบบบริหารความเสี่ยงที่สามารถรองรับการลงทุนในสัญญาซื้อขายล่วงหน้าอย่างเหมาะสม โดยจัดทำแบบทดสอบภาวะวิกฤต (stress test) เพื่อประเมินและเตรียมแผนรองรับผลกระทบที่