7. Clause 25 In case personnel in the capital market business are persons registered with the Stock Exchange or the derivatives exchange as an agent of a member who can place trading order through the
derivatives exchange as an agent of a member who can place trading order through the system for trading capital market products, if such persons have breached or failed to comply with the regulations prescribed
%B4%E0%B8%99%E0%B8%97%E0%B8%A3%E0%B8%B1%E0%B8%9E%... DRAFT CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent licensed under Section 16. The Capital Market
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Future Foundation (TFF), as moderator. The seminar was organized by TFF under the endorsement of the Capital Market Development Fund (CMDF) with the main objective of sharing perspectives and guidelines
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analyst will be allowed to cover no more than 15 securities in average; published research must be updated at least 4 times a year; brokers must put in place control over quality of investment research and
market business are persons registered with the Stock Exchange or the derivatives exchange as an agent of a member who can place trading order through the system for trading capital market products, if
____________________________________________________________________ ____________________________________________________________________ 8) Does the investment policy and investment strategy of the foreign ETF comply with the Notification of the Capital Market