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
หรือมีความซับซ้อน (“risky / complex product”) (1) กรณีหน่วยลงทุนของกองทุนรวมที่มีการลงทุนแบบซับซ้อน ให้หมายถึง กองทุนรวมที่มีการลงทุนใน derivatives ที่มีกลยุทธ์แบบซับซ้อน (complex strategic investment
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
which are secured with collateral placed by the derivatives broker and are not under the condition allowing the creditor to call for prepayment before the maturity date, only in the portion of liabilities
. “ qualified liabilities ” mean: (1) liabilities which are secured with collateral placed by the securities company and are not under the condition allowing the creditor to call for prepayment before the
custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner
ง จาก 20% ของ NAV เป็น 15% ของ NAV โดยสัดส่วนการลงทุนในตราสารหนี้ unrated ในพอร์ตการลงทุนยังคงเท่าเดิม 3.2 การเปิดเผยข้อมูลกองทุนรวมที่มีความเสี่ยงสูงหรือมีความซับซ้อน (“risky / complex product
its custody are secured and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records
functions in accordance with the defined access rights; (b) control access to information systems and applications by a secured log-on procedure; (c) establish password management systems to ensure security
required; 2.3 consider risks of media degrading while stored information is still needed and methods on how to handle such risks in case of prolonged storage; 2.4 keep all media in a safe and secured