(1) การทำธุรกรรมที่เป็นการลงทุนแบบซับซ้อนในสัญญาซื้อขายล่วงหน้าและมีมูลค่า ความเสียหายสูงสุด (value-at-risk : VaR) ที่เกิดจากการทำธุรกรรมตามวรรคหนึ่ง (1) (2) หรือ (3) รวมกันดังนี้ (ก) เกินกว่า 2 เท่า
contract for hedging the risk of client on the condition that such dealer has a risk profile opposite a client’s hedged risks at the time of contracting, or the derivatives would be able to significantly
Capital Market Business Personnel and have completed the training courses on foreign currency risk at any agency recognized by the SEC Office, to provide services to the clients regarding investment in the
market, and etc , the Client may sustain a loss due to its outstanding position in derivatives contracts at settlement date. 3.5 Risk Associated with Failure to Execute Stop Loss Order A derivatives agent
held at least twice a month for revision and monitoring of performance , mechanism for regular measurement, monitoring and control of the risk from investment and system for recording and retaining the
, at a minimum, a risk disclosure statement, which contains at least the particulars and material information in accordance with the guidelines for risk disclosure statement prescribed by the SEC Office
, derivatives broker shall arrange to have a procedure to ensure that customer is aware of the risks in derivatives trading, by having at least a document containing risk disclosure statement which have minimal
intermediary shall arrange a process ensuring that the client is aware of risks relating to trading derivatives by at least preparing risk disclosure statement which contains the minimums of particulars and
companies are able to set a priority of works and allocate its resources for business continuity management effectively. At least, companies should conduct a risk assessment and business impacts analysis once
intermediary shall arrange a process ensuring that the client is aware of risks relating to trading derivatives by at least preparing risk disclosure statement which contains the minimum of particulars and