in 2015, which aims to create linkage among ASEAN capital markets and facilitate cross-border securities trading. It will enhance ASEAN capital market to be on par with international market and
เกณฑ์การกำกับดูแลระบบงานการส่งคำสั่งซื้อขายโดยอัตโนมัติ (program trading) และ (1.3) การกำกับดูแลการให้บริการลูกค้าอย่างเป็นธรรม (market conduct) ซึ่งรวมถึงการปรับปรุงหลักเกณฑ์การติดต่อและให้บริการลูกค้า
cooperation in order to provide services to their investors as well as enhance business opportunity. The cooperation could range from securities trading service, preparation of securities analysis report
operation against corruption. Also, the SEC asked securities and asset management companies to adopt the Indicator as an investment factor for their proprietary trading and investment of mutual funds under
avoid revealing the details of his related persons who entered into share trading transactions with RAM during 2012-2013. The said misconduct was in violation of Section 312 of the SEA. The SEC therefore
derivatives products to deposit money into banking accounts of two securities companies for Sureerat?s derivatives trading account. Such wrongdoing was in violation of Section 16 of the Derivatives Act B.E
client's assets in custody, no proprietary trading, and no responsibility in clearing and settlement of securities. In addition, the lower rate of annual license fee will be offered for companies selling at
?s assets in custody, no proprietary trading, and no responsibility in clearing and settlement of securities. In addition, the lower rate of annual license fee will be offered for companies selling at
clients’ trading order information, which could potentially be used for the benefit of the operator itself or its related persons; (2) Revising the financial reporting standards applicable to
ที่ออกโดยบริษัทแม่ จึงไม่ใช่การให้กู้ยืมเงินปกติ แต่การที่บริษัทหลักทรัพย์ไปลงทุนในตั๋วเงินนั้นต้องพิจารณาข้อกำหนดเกี่ยวกับ หลักเกณฑ์เรื่อง proprietary trading (ตามข้อ 12(8) และข้อ 25 ของ ทธ. 35/2556