Rules in Detail related to Proprietary Trading of Intermediaries
Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short-term investment shall not be made
Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short- term investment shall not be made
securities business, including securities dealing, securities underwriting, proprietary investment and securities custody, have paid-up registered capital at the following different amounts
Bangkok, October 29, 2014 ? The SEC is seeking public comment on draft regulations on prevention and management of conflicts of interest and proprietary trading applicable to business operators. The
person having no domicile in Thailand; (10) mutual funds; (11) provident funds; (12) private funds; (13) pension funds; (14) other juristic persons as notified by the Office. Clause 10. In order to prevent
(11) provident funds; 16 (12) private funds; 17 (13) pension funds; 18 (14) other juristic persons as notified by the Office. Clause 10. In order to prevent conflict of interests which may arise in the
domicile in Thailand; 14(10) mutual funds; 15(11) provident funds; 16(12) private funds; 17(13) pension funds; 18(14) other juristic persons as notified by the Office. Clause 10. In order to prevent conflict