operation system shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment
ควบคุม การกระท าท่ีอาจมี COI เช่น การรับประโยชน์ตอบแทน (Soft Dollar) การซ้ือขายหลกัทรัพยเ์พื่อตนเอง (Prop Trade และ Staff Dealing) และการท าธุรกรรมกบับุคคลท่ีเก่ียวขอ้ง (Affiliated Transaction) โดยตอ้ง ค า
in debt and equity securities for the Company’s own account, bond dealing, private repos and other investments. 2. Expenses The Company’s expenses in the third quarter of 2020 were Baht 482 million, a
brokerage, securities dealing or underwriting of investment units All mutual fund supervisors No. SEC. Nor Jor. (Wor) 1/2564 Re: Mutual Recognition of Funds between Hong Kong Special Administrative Region of
mutual fund management All securities companies licensed to undertake securities business in the category of securities brokerage, securities dealing or underwriting of investment units All mutual fund
chosen not to retain any position when dealing with commodity prices by managing market risk through a back-to-back policy. Our equity risk stems from equity underwriting and non-directional trading
credit spreads. Moreover, KBank has chosen not to retain any position when dealing with commodity prices by managing market risk through a back-to-back policy. Our equity risk stems from equity
. The Interim Dividend payment In accordance with the resolution of the Board of Directors’ meeting No.8/2017 held on August 24, 2017 which approved the interim dividend payment for the January 1 – June
is calculated, it is equivalent to 25.90 percent of the net tangible assets (NTA) according to the interim consolidated financial statement of the Company as of 30 September 2018 where the Company and