all types of complex, non-complex and high-risk capital market products.
on non-complex capital market products as well as all types of high-risk or complex products. For example, investments units of mutual funds offered for sale to institutional investors or ultra-high
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
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
challenging to audit due to high degree of judgment required. • Complex transactions • Complexities of auditing IT : in particular in the areas of valuation, internal control and evidence of work performed
in connection with any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and (10), shall come into force as from 1 January 2017; and (4
in connection with any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and (10), shall come into force as from 1 January 2017; and (4
/ traded volume during the day More likely to be profit seeking algorithms More likely to be execution algorithms Absolute net position No. of trading days • Intraday • More complex • High trading activities