.; (b) the complicated nature of the action or the tools using for such action such as using a disguised name of other person or establishing a company for concealment; (c) the record of behaviour of

fund of which the returns calculation is made in a complicated way (complex return fund); (d) investment units of a mutual fund of which the fund's net exposure in commodities is made through its

Commission concerning Additional Rules for Mutual Fund Investing in Derivatives and Credit Linked Notes ; (3) investment units of a mutual fund whose returns calculation is made in a complicated way (complex

, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in

securities’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from

premises with other people, the management company shall proceed as follows: (1) arrange to have space for the branch office to serve customers and to store documents separated from space that other people

systems and application software, as well as take and test program source code at least once a year; (4) completely and sufficiently store and record logs for inspection of conflicts of interest in the

least once every six months; (5) prevent previously used passwords; (6) not display passwords on the screen while being entered; (7) store password files in encrypted form and keep them separately from

in connection with any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and (10), shall come into force as from 1 January 2017; and (4

หรือมีความซับซ้อน (“risky / complex product”) (1) กรณีหน่วยลงทุนของกองทุนรวมที่มีการลงทุนแบบซับซ้อน ให้หมายถึง กองทุนรวมที่มีการลงทุนใน derivatives ที่มีกลยุทธ์แบบซับซ้อน (complex strategic investment