Microsoft Word - hearing group limit _2_.docx เอกสารรับฟงความคิดเห็น เร่ือง การกําหนดเรื่อง sector fund และ group limit สํานักงานคณะกรรมการกํากับหลักทรัพยและตลาดหลักทรัพย (http://www.sec.or.th
and international demand, which affected from the impact of coronavirus (COVID-19) pandemic. The measures of the government sector to control the spread of the virus, therefore the limit of inbound and
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
representative in Thailand Information as of XX XX XXXX Name of the ARFP Fund Unit Class SRI Fund Class code Type of mutual fund Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile Explanation Investment policy and
Fund Unit Class SRI Fund Class code Type of mutual fund Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile Explanation Investment policy and strategy Calendar year performance and benchmarks over the past
. Medium-high risk 5 ▪ has a net exposure in equities, fixed income, or alternative assets. ▪ In case of CIS without specifying its investment limit in equities, the risk level should be in accordance with
the securities clearing house, including credit risk and liquidity risk. The financial resources shall be assets with high liquidity and low-price volatility which may be any of the following assets: (1
assets with high liquidity and low-price volatility which may be any of the following assets: (1) assets contributed by members; (2) assets procured as collateral for payment obligation; (3) assets
limit ไมเกิน35% High quality limitไมต่ํากวา 80% (4) Specific fund (ขอ 82) - ทรัพยสินที่ไดรับ rating ระดบั investment grade - กรณี fund Company limit ไมเกิน 25% fund limit ไมเกิน 25% (5) กองทุนรวมด
seriously come into question, especially when it involves those with high-level positions. The SEC, then, prefers that audit firms limit their risk exposures by progressively reducing the extent of personal