Loan of Financial Institutions Act B.E. 2523 (1980), except as specified in Chapter 7; “capital market product” means securities and derivatives; “capital market product having high-risk or complex
Annual Report 2010 ANN UAL REPORT 2010 SECURITIES AND EXCHANGE COMMISSION, THAILAND ASEAN ECONOMIC COM MUN ITY Vision S = Setting High Standard E = Ethical C = Committed Pro = Professional Mission Core value: SEC-Pro The SEC develops and supervises the Thai capital market to ensure efficiency, fairness, transparency and integrity. The SEC is to establish the Thai capital market as an important alternative for investors and fund raisers with an efficient mechanism for investor empowerment and, in...
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
mutual fund whose returns calculation is made in a complicated way (complex return fund); (4) investment units of a mutual fund whose net exposure in commodities is made through its investment in commodity
complicated than plain debt securities as it is a combination of debt securities and derivatives. An investment in the structured notes involves in a few risk factors such as underlying risk, credit risk of
, such calculations are unfeasibly complex and onerous for the purposes of the Standard, and much of the data is in any case unavailable. By default, we therefore favor a methodology based on per passenger
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program for auditing difficult and complex areas, staff training limited to theoretical lectures and lack of case study on issues requiring professional judgement and professional skepticism, particularly