market efficiency, fairness, transparency, and accountability by focusing on market confidence, reduction of systemic risk, and investor protection. Focuses of each area are as follows: Equity
accordance with average risk exposure over any accounting year, instead of amounts invested in the assets; 5. Fund of funds (FOFs): FOFs must have an average risk exposure of no less than 80% of NAV in
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
futures for hedging risk. SEC Act S.133 Settlement Committee Meeting No. 11/2022 Settlement Committee Order No. 178/2022 Dated 11/11/2022
questions cover personal data, financial status, financial knowledge and experience, investment objective as well as risk appetite and willingness to take risks. For instance, it may be the case that young
Bangkok, December 18, 2009 ? The SEC is inviting public comment on the draft amendment to the rules regarding procedure for sale of investment units suitable for investors with different risk
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
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
Office of Securities and Exchange Commission No. OrThor. 6/2549 Re: Guidelines for Preparing a Risk Disclosure Statement for Futures Trading. Clause 21 of the Notification of the Office of Securities and