proprietary trading under Clause 12(8) of the Notification on Standard Conduct of Business : (1) risk management system; (2) investment control system; (3) system for preventing access to inside information
proprietary trading under Clause 12(8) of the Notification on Standard Conduct of Business: (1) risk management system; (2) investment control system; (3) system for preventing access to inside information
Effective Date 1. Notification of the Office of the Securities and Exchange Commission Sor Thor. 35/2557 Rules in Detail on Communication with and Providing Services to Clients of Securities Companies
of the Securities and Exchange Commission Sor Thor. 35/2557 Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries (Codefied
found that {A} had been authorized by his client to make securities trading decisions on the client's behalf with high trading volume. The communication record showed that {A} traded the securities and