contract, the derivatives fund manager shall: (1) Propose investment plans which are suitable for investors; (2) Sufficiently and timely disclose or arrange to have disclosure of information that is
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
. Although the economy performed well in a big picture, the economy at grassroots level has yet to sufficiently expand. This was seen in growth of private consumption, growth of durable goods consumption
have sufficiently similar features to make the comparison relevant and not misleading.” 3 (5) การก าหนดให้ต้องเปิดเผย worst case scenario ในการโฆษณาผลิตภัณฑ์ที่มีความซับซ้อน หรือเสี่ยงสูง อาจไม่มีความจ า
System and Personnel _____________________________ Clause 11 An intermediary shall equip management structure, operating system and personnel appropriately and sufficiently in order to be capable to
accordance with the first paragraph of Clause 38 if: (1) the elucidation of the person under consideration has ever been heard adequately by a panel which comprises of persons with knowledge and experiences in
adequately by a panel which comprises of persons with knowledge and experiences in operating business in the capital market or by other relevant organizations; or (2) the committee has already prescribed