for risk controlling [M] o Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy o Identifying clearly the purpose and scope
) a person who had been licensed to undertake the derivatives business in the category of Futures broker under the Agricultural Futures Trading Act B.E. 2542 (1991) as of the date when the Cabinet
)1 a person who had been licensed to undertake the derivatives business in the category of Futures broker under the Agricultural Futures Trading Act B.E. 2542 (1991) as of the date when the Cabinet
promotion for all business operators in the capital market. Expected to become effective in Q1/2013, the streamlined rules will set the same advertising and sales promotion standards for all businesses with
or investment units; (2) a person licensed to undertake derivatives business in the category of derivatives broker; “ securities company association ” means an association relating to securities
or investment units; (2) a person licensed to undertake derivatives business in the category of derivatives broker; “securities company association” means an association relating to securities business
barred her from holding any securities company management positions for six years. In case of {B}, she had used a client trading account to trade AMC shares for another person. The SEC found that Somchai
with power in whole or in part in the management of the company 5. changing in credit rating of the issuer’s debt securities 6. expanding the amount of debt securities to be offered under the MTN Program