Microsoft Word - public hearing-complex&ACMF08082018 เอกสารรับฟงความคิดเห็น เลขที่ อจต. 33 /2561 เร่ือง รางประกาศการแกไขหลักเกณฑเก่ียวกับการออกและเสนอขายตราสารหน้ี และการเปดเผยขอมูล ครั้งที่ 2
) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products and high-risk or complex products, i.e., derivatives, high-risk or complex of
Loan of Financial Institutions Act B.E. 2523 (1980), except as specified in Chapter 7; “capital market product” means securities and derivatives; “capital market product having high-risk or complex
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
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
Loan of Financial Institutions Act B.E. 2523 (1980), except as specified in Chapter 7; “capital market product” means securities and derivatives; “capital market product having high-risk or complex
challenging to audit due to high degree of judgment required. • Complex transactions • Complexities of auditing IT : in particular in the areas of valuation, internal control and evidence of work performed
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
/ traded volume during the day More likely to be profit seeking algorithms More likely to be execution algorithms Absolute net position No. of trading days • Intraday • More complex • High trading activities
Notification Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries: “High-risk or complex mutual fund” shall be specified. 17.2 For a