Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment
review of selected engagements which were in high-risk industries with focus on review of primary accounts affected by the adoption of new financial reporting standards, matters that required high
ท่ีมีความเส่ียงสูงหรือมีความซับซ้อน (“risky / complex product”) (1) กรณีหน่วยลงทุนของกองทุนรวมท่ีมีการลงทุนแบบซบัซอ้น ใหห้มายถึง กองทุนรวมท่ีมีการลงทุนใน derivatives ท่ีมีกลยทุธ์แบบซบัซ้อน (complex
แบ่งประเภท product สามารถสรุปได้ตามตาราง ดังนี้ 8 ประเภทตราสาร (1) plain/ common (2) risky/ complex ตราสารทุนหรือ ตราสารที่มีลักษณะ คล้ายทุน หุ้น, warrant REIT Infrastructure fund derivatives หรือ ตราสาร
. Key points of the regulations can be summarized as follows: 1. Domestic Systemically Important Banks (D-SIBs) and financial institutions with a high level of cyber inherent risk must appoint a Chief
complicated than plain debt securities as it is a combination of debt securities and derivatives. An investment in the structured notes involves in a few risk factors such as underlying risk, credit risk of
of fast-changing cyber threats that are always becoming more diverse and more complicated. Reinforcing a cyber risk-aware culture that involves the Board of Directors and high-level management
crypto traders (particularly high-risk individuals) take more risk after losses (particularly during downturn) Thai crypto (low-risk) individuals take more risk after paper losses, and less risk after
with sufficient time to focus on the more complex and/or high-risk issues, another firm might assign the firm’s quality control system to audit personnel who specialized in this area in order to allow
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries