risk associated with the case where such securities underwriter becomes issuer of instrument whose underlying securities has been underwritten by itself, providing that such securities underwriter has
13, 2011. 9 (6) purchase or sale for its own proprietary portfolio to manage risk associated with the case where such securities underwriter becomes issuer of instrument whose underlying securities has
) purchase or sale for its own proprietary portfolio to manage risk associated with the case where such securities underwriter becomes issuer of instrument whose underlying securities has been underwritten by
to ensure efficient control and supervision of the service provider’s operation and management of the risks associated with the outsource; (6) consider the selection of a service provider with care as
to ensure efficient control and supervision of the service provider’s operation and management of the risks associated with the outsource; 4 (6) consider the selection of a service provider with care
หรือหักด้วยบัญชีค่าเผื่อการปรับมูลค่าและค่าเผื่อการด้อยค่าของเงินลงทุนแล้ว 5. เงินลงทุนในบริษัทย่อยและบริษัทร่วม (Investments in subsidiary and associated companies) หมายถึง เงินลงทุนในบริษัทย่อยหรือ
financial institution with which the person was associated or the customers thereto; or (2) having been sentenced to imprisonment by the court’s final judgment and it has not yet surpassed the three-year
margin) specified by taking into account risk factors associated with the counterparty and purchased securities; 6.5 calling for placement of additional money or securities from the counterparty when the
than purchase price of the securities provided that the difference shall be calculated from discount rate of purchased securities (initial margin) specified by taking into account risk factors associated