Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market
approval of the Cabinet. “derivatives” means a contract having one or any combination of the following characteristics: (1) a contract in which one party is obliged to deliver goods as specified in the
characteristics”5 means the following capital market products: (1) investment units having high-risk or complex characteristics including: (a) investment units of a mutual fund offered for sale to institutional or
methodologies. For example, a CRA should assess whether existing credit rating methodologies and models for determining credit ratings of structured finance products are appropriate when the risk characteristics
of Units of Foreign ETF ------------------------- Division 1 Filing of Application for Examination -------------------------- Clause 3 Any person intending to request an examination of characteristics
director or executive’s full name ] Part 2: Characteristics Indicating Untrustworthiness 1st Group Characteristics (1) I am an insolvent person. [ ] Yes [ ] No (2) I am an incompetent or a quasi-incompetent
shall have the qualification and shall not have prohibited characteristics under Section 24 of the Derivatives Act B.E. 2546 (2003) and the Notification of the Capital Market Supervisory Board concerning
Notification: “ deposit ” means the following assets: (1) cash deposit, certificate of deposit, depository or other instruments having similar characteristics and whose deposit accepters being a financial