been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

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

institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] · Reviewing and modify updatable by having a risk assessment once a

modify the rules concerning the preparation of reports on provident fund management and the calculation of investment limits of provident funds in respect of the provident funds with multiple investment

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

, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5

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

ง จาก 20% ของ NAV เป็น 15% ของ NAV โดยสัดส่วนการลงทุนในตราสารหนี้ unrated ในพอร์ตการลงทุนยังคงเท่าเดิม 3.2 การเปิดเผยข้อมูลกองทุนรวมที่มีความเสี่ยงสูงหรือมีความซับซ้อน (“risky / complex product

issuing this Notification is that it deems appropriate to modify the qualifications of applicants for derivatives business license to offer opportunity to business operators with proper qualifications and

5th day of November 2008. (Mr. Vijit Supinit) Chairman Securities and Exchange Commission Remarks : The reason for issuing this Notification is that it deems appropriate to modify the qualifications of