operator’s proprietary trading shall arrange to have systems for administrative management and management of risk which could arise from such investment, at least in the manner in accordance with the guideline
securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of interest and leaking of
broker investing in securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of
acceptable to the Office. Clause 2. The derivatives broker investing in securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk
e-service Online Submission See canceled document Business Operation Rules >> Proprietary Investment (Section 98(7)) Type Title Section See Document Status Notified Date Effective Date 1. Act
Rules in Detail related to Proprietary Trading of Intermediaries 07/04/2015 16/05/2015 8. Notification of Capital Market Supervisory Board TorKhor. 35/2553 Rules, Conditions and Procedures for
management of proprietary portfolios; (7) Any other financial institutions specified by the Office with the approval of the Securities and Exchange Commission; (8) Securities companies for the management of
proprietary portfolios; (7) Any other financial institutions specified by the Office with the approval of the Securities and Exchange Commission; (8) Securities companies for the management of assets of any