be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
เหมาะสม 2.2 ตราสารหนี้ รวมถึงหุ้นกู้แปลงสภาพและหุ้นกู้ควบใบสำคัญแสดงสิทธิ ให้ใช้ราคา ตามลำดับ ดังต่อไปนี้ 2.2.1 ราคาที่กำหนดโดย market makers ตั้งแต่ 2 รายขึ้นไป โดยกรณี long position ให้ใช้ราคาเสนอซื้อ
calculation will reflect position risk of assets and cover related business transactions, in line with international standards and the changing market conditions to serve the ongoing business operation and to
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
Bangkok, February 2, 2012 ? The Minister of Finance has appointed three expert members to the Securities and Exchange Commission and the Capital Market Supervisory Board, as follows: - Ms. Benja
holding the position of acting branch manager at the bank.** The SEC has therefore revoked the approval as an investment consultant, which consequently disqualified her from performing duties as capital
had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She