such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with
website in the form of community web board shall not be liable to presenting oneself to the general public as being ready to provide services as investment advisor or derivatives investment advisor on the
making a deal. Clause 14. Securities company shall report securities trading information to Thai Bond Market Association as rules prescribed by the Office. Clause 15. Securities company shall appoint a
member country of the Organization for Economic Co-operation and Development (“OECD”); (c) being a regulator in the countries in the ASEAN Economic Community (“AEC”). (3) being an outbound product which is
member country of the Organization for Economic Co-operation and Development (“OECD”); (c) being a regulator of any member country of the ASEAN Economic Community (“AEC”). (3) being an outbound product
หลักทรัพย์เพื่อบริษัท (proprietary trading) พนักงานที่เกี่ยวข้องกับการจัดการกองทุนส่วนบุคคล (staff deal ( หลักปฏิบัติในการซื้อขายหลักทรัพย์เพื่อบริษัท (proprietary trading ( ( ( ( ( ( 1.4 (ข) ( 1.4 (ค
Economic Community) (“AEC”) (3) เป็นผลิตภัณฑ์จากต่างประเทศที่มีการเสนอขายในลักษณะใดลักษณะหนึ่งดังนี้ (ก) เป็นผลิตภัณฑ์จากต่างประเทศที่มีการเสนอขายอยู่ในประเทศที่หน่วยงาน กำกับดูแลตาม (2) ตั้งอยู่ (skin in
issues this Notification of Guidelines, as follows: Clause 1 The Guidelines deal with the following matters: (1) establishment of policies, measures and operating systems relating to the governance of
in the environmental and social areas, which include respect for human rights and good corporate governance. For example, climate change risk, biohygienic and safety risk, disputes with the community
) Community / society development (8) Creation and distribution of innovations responsible to society, environment and stakeholders. Selection of subjects for implementation and disclosure : As businesses