Institutional Investors, Major Investors or High Net Worth Investors, or Services related to Securities Having High Risks or Complexity dated 15 February 2013; (36) The Notification of the Capital Market
period of 5 years before filing an application for approval. In this regard, such businesses shall involve a quantity and complexity of transactions that are sufficient for demonstrating knowledge and
nature and complexity through appropriate training and participation; • understanding of professional standards and applicable legal and regulatory requirements; • technical knowledge and expertise
management that should be applied by each intermediary and for determining a clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the
clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the intermediaries should study standards and practice guidelines for business
2015 was published in the Government Gazette on 25 June 2015. 8 Diagram showing infrastructure funds’ risk levels and a summary of important risk factors Low risks/complexity High risks/complexity Money
derivatives business that will be commenced specifically to agricultural derivatives; (2) in the case where the licensee has requested the SEC Office to inspect operation's promptness during application
derivatives business that will be commenced specifically to agricultural derivatives; (2) in the case where the licensee has requested the SEC Office to inspect operation's promptness during application
derivatives business that will be commenced specifically to agricultural derivatives; (2) in the case where the licensee has requested the SEC Office to inspect operation's promptness during application
deficiencies effectively because they took on audit engagements in excessive quantity and complexity beyond the capability of experienced personnel to perform quality audit work in accordance with the