SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the
to invest diversely. They can invest in equity securities, debt instruments and alternative assets. Investing in SSF units offers an alternative, especially for those who have just started their
offering information of each class of bonds, types of offering, risk levels, fact sheets, and relevant reports etc., to enable convenient access of the public and interested parties. The information can be
แบบรายงาน_oper risk (สธ.12/2561)
แบบ RLA (Risk Level Assessment) [รอบที่ 2 ปี 2566]
risk suitability test, and the event also provides customer services zones where tips regarding fraudulent solicitations and suspicious services and products are provided. Furthermore, a clinic
alternative assets such as gold mutual funds and investment in derivatives other than hedging purpose, management companies may choose to control the permissible investment proportion at individual level. In
Bangkok, June 20, 2014 ? The SEC encourages asset management companies to set up post retirement funds as investment alternative for retirees. The funds provide unit holders continuous payouts and
alternative assets. ▪ In case of the ARFP Fund without specifying its investment limit in equities, the risk level should be in accordance with the actual asset allocation of the fund. For example, if the fund
. Medium-high risk 5 ▪ has a net exposure in equities, fixed income, or alternative assets. ▪ In case of CIS without specifying its investment limit in equities, the risk level should be in accordance with