continuing a relationship, which should be discontinued. 7 Does the firm have any particularly risky clients or risky industry (e.g. Finance and Securities, Banking, Insurance, Energy & Utilities, Mining
intermediary has executed such trading for clients. Chapter 6 Providing Services relating to Risky or Complex Capital Market Products _______________________ Clause 28 In providing services relating to risky or
หรือมีความซับซ้อน (“risky / complex product”) (1) กรณีหน่วยลงทุนของกองทุนรวมที่มีการลงทุนแบบซับซ้อน ให้หมายถึง กองทุนรวมที่มีการลงทุนใน derivatives ที่มีกลยุทธ์แบบซับซ้อน (complex strategic investment
ง จาก 20% ของ NAV เป็น 15% ของ NAV โดยสัดส่วนการลงทุนในตราสารหนี้ unrated ในพอร์ตการลงทุนยังคงเท่าเดิม 3.2 การเปิดเผยข้อมูลกองทุนรวมที่มีความเสี่ยงสูงหรือมีความซับซ้อน (“risky / complex product
total investment money of all clients generated from service provision (if any). (4) specifying a period of participating in the regulatory sandbox to be no longer than one year as from the approval date
each client and the total investment money of all clients generated from service provision (if any). (4) specifying a period of participating in the regulatory sandbox to be no longer than one year as
person to be the manager of the fund and the assets generated from the fund; (3) having an investment policy whereby investment in a business is made through entering into an agreement for investment in
properties, or the seeking of benefits generated by other means; “ scheme ” means a mutual fund management scheme; “ association ” means an association related to securities business and established under the
concession right to operate an infrastructure business; (c) the right to receive the future income or the right under the income sharing agreement that will be generated by an infrastructure business or will
the process of running automated tools against defined IP addresses or IP ranges to identify known vulnerabilities in the CS environment. A report is generated and IT team will assess and manage system