; “ capital market product having high-risk or complex characteristics ”5 means the following capital market products: (1) investment units having high-risk or complex characteristics including: (a) investment
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
of credit risk to comply with international standards. Besides, pre-approval requirement for investment in SN will be removed.In addition, the funds investing in complex derivatives and SN will be
., institutional and high net worth investors, to enhance competitiveness of asset management companies and diversify choices of investment for investors with higher risk tolerance. The draft revision aims to allow
such investment. This is to prevent material impacts on the companies’ financial position or operating results as digital asset investment is usually exposed to relatively high risk from price volatility
with proper risk management for derivatives investment. In addition, stress test must be conducted while contingency plan must also be prepared. Mutual funds for AIs setting maximum limits of derivatives
financial instruments, risk management tools to support capital market development for business sectors, and greater investment alternatives for the public. These efforts have been driven concurrently with
, compliance and information management, including the readiness of personnel; (4) having the result of the evaluation by the SEC Office regarding the management of the operational risk and the customer
the operational risk and the customer relationship risk which is not more than medium level or which is in the acceptable level, unless having obtained exemption from the SEC Office; (5) having not been
, compliance and information management, including the readiness of personnel; (4) having the result of the evaluation by the SEC Office regarding the management of the operational risk and the customer