-determined, acceptable level. 5 Important Notes • I do not consider the minimization problem of ruin probability as in Bayraktar & Young (2007) because ruin is not the absorbing state. • The earner continues
the company has completed the duties of management of the client's investment capital. Primarily, the company has recommended suitable investments after considering the risks acceptable by the clients
the company has completed the duties of management of the client's investment capital. Primarily, the company has recommended suitable investments after considering the risks acceptable by the clients
Supervisory Board concerning Investment of Funds (the same rule applies to Thai ETF)? Yes No 9) Is the foreign ETF a passively managed fund? Yes No If “Yes”, please specify criteria of acceptable index ( please
? Yes No If “Yes”, please specify criteria of acceptable index (please tick where applicable): The index is recognized by a member of the World Federation of Exchange and the index constituents are
approval criteria regarding important work systems. For example, the systems for custody of client assets and Know Your Customer (KYC) were inconsistent with the SEC's acceptable standards, while the
found the participation in the committee invaluable. It opens further opportunities for the SEC to contribute to the development of investor education globally, as well as to utilize the experiences of
juristic person established under foreign law licensed to provide derivatives services under the law of such foreign countries and acceptable to the Office. Clause 2. The derivatives broker investing in
shall also means any juristic person established under foreign law licensed to provide derivatives services under the law of such foreign countries and acceptable to the Office. Clause 2. The derivatives
acceptable to the Office. Clause 2. The derivatives broker investing in securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk