give the opening keynote at the Dialogue. This EU-Asia Financial Services Dialogue is a great opportunity for representatives from several organizations to share experience in dealing with challenges
compulsory for renewal of approval for investment consultants, investment planners, investment analysts, agricultural commodity trading management officials, fund managers and derivatives investment managers
securities business, including securities dealing, securities underwriting, proprietary investment and securities custody, have paid-up registered capital at the following different amounts
Bangkok, March 8, 2011 - The SEC is seeking public comment on the proposal to strengthen role of compliance unit of securities company in the category of securities brokerage, dealing and
any actions where conflicts of interest may arise, such as soft commission, related party transaction, proprietary trading and staff dealing. In addition, effective risk management system for
trading, affiliated transaction, soft commission and staff dealing; (6) The investment in derivatives and innovative financial instruments; (7) The determination of guideline for complaint acceptance and
prevention of conflict of interest in the fund management which are proprietary trading, affiliated transaction, soft commission and staff dealing; (6) The investment in derivatives and innovative financial
Clause 4/1 of the Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt
Securities Dealing which are not Debt Instruments dated 26 September 2000 as amended by the Notification of the Securities and Exchange Commission No. KorThor. 23/2549 Re: Rules, Conditions and Procedures for