proprietary trading which would be able to prevent the following occurrences: (a) negative result to financial status of an intermediary; (b) affected trade of capital market products deviated from regularity
volume of such shares, and involved a series of continuous trading orders, with the intention to cause the share prices or trading volume to be inconsistent with the normal market conditions. The
) Act and Royal Enactment ( 18 ) About SEC ( 8 ) Enforcement ( 4 ) Intermediaries ( 4 ) Market Data ( 4 ) Market Professionals ( 4 ) Strategic Plan ( 4 ) investor ( 1 ) More >> Documents Adobe PDF ( 628
above.In this regard, his offenses are deemed market misconduct related to securities trading under the Securities Law, and may be deemed an asset misappropriation under the Penal Code which is a predicate
an agreement to trade securities with the counterparty . Clause 15 A securities company shall report information on the trading transactions of the securities registered with the Thai Bond Market
the securities company [proprietary trading]. 3 Added by the Notification of the Capital Market Supervisory Board No. Tor Thor. 8/2556 Re: Rules, Conditions, and Procedures for Dealing of Debt
Exchange rules ประกอบด้วย (1) Listing & delisting rules (2) Trading, clearing & settlement rules และ (3) Market maker rules 2 เช่น คริปโทเคอร์เรนซี เป็นต้น 2 (3) การกำหนดให้ DA ที่จะนำมาซื้อขายในศูนย์ซื้อ
sustainable growth and returns while maintaining our market leadership under sound corporate governance and appropriate risk management. Guided by our core strategies of “Customer Centricity”, KBank has decided