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
.; (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
undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an
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
communicating the results of each engagement. It should also cover consultation during the course of engagement. Following is the checklist that will help to assess engagement performance of the firm. Particulars
หรือมีความซับซ้อน (“risky / complex product”) (1) กรณีหน่วยลงทุนของกองทุนรวมที่มีการลงทุนแบบซับซ้อน ให้หมายถึง กองทุนรวมที่มีการลงทุนใน derivatives ที่มีกลยุทธ์แบบซับซ้อน (complex strategic investment
suit the market needs and to serve customers better. In addition, this will help reduce personnel training costs for securities companies which regularly organize in-house training. 3. Duration of
prior approval from the Office, which will help facilitate their business operation.
(complex strategic investment) หรือการลงทุน ในสัญญาซื้อขายล่วงหน้าที่มีความซับซ้อน (exotic derivatives) “บริษัทจัดการ” หมายความว่า บริษัทหลักทรัพย์ที่ได้รับใบอนุญาตประกอบธุรกิจหลักทรัพย์ประเภทการจัดการกองทุน