fund of which the returns calculation is made in a complicated way (complex return fund); (d) investment units of a mutual fund of which the fund's net exposure in commodities is made through its
which is in the same financial conglomerate, and provided that such supervisor is not a securities company or a derivatives broker which has been granted an exemption from the requirement of independent
.; (b) the complicated nature of the action or the tools using for such action such as using a disguised name of other person or establishing a company for concealment; (c) the record of behaviour of
Status Report This is in reference to the SEC Office’s email dated 28 June 2010, which informed securities companies and derivatives brokers (“intermediaries”) of the requirement for submission of the
Commission concerning Additional Rules for Mutual Fund Investing in Derivatives and Credit Linked Notes ; (3) investment units of a mutual fund whose returns calculation is made in a complicated way (complex
company or the issuer of ETF units , as the case may be: (1) purchasing ETF units by using assets as a payment under the requirement of such ETF or; (2) reselling ETF units by accepting assets as a
. For such purposes, the rules governing the requirement of margins for derivatives trading in derivatives exchange have been prescribed. Furthermore, the Derivatives Act (No.2) B.E. 2551 (2008
country or jurisdiction specified in the database in Clause 14(3); (2) a corporate client with complex shareholding or functional structures that may raise doubt or difficulty in determining the true
persons who demand information to get a convenient access without requirement for member subscription; and (c) giving advice without any core objectives of providing advisory services to other persons
+ หลักประกัน) - (margin + SMV) 6. margin requirement ผลรวมของ (มูลค่าหลักประกันหรือหลักทรัพย์ที่ลูกค้ายืม แต่ละรายการ x อัตรามาร์จิ้นเริ่มต้นของหลักประกันหรือ หลักทรัพย์ที่ลูกค้ายืมรายการนั้น) ในกรณีที่