of inside information between units and personnel, internal control and risk management for operation of derivatives business in the category to be commenced including measure for controlling and
) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to
] preventing leaking of inside information between units and personnel, [iii] internal control and [iv] risk management for operation of derivatives business in the category to be commenced, including measure
ในหน่วยลงทุนของ บลจ.เอง การเปิดเผยข้อมูล และการรายงาน 1 ระบบ chinese wall 2 internal control + การกำกับดูแลและตรวจสอบเพื่อป้องกัน inside info 3 มาตรการป้องกัน COI 3.1 soft$ (รวม hard$ ด้วย) 3.2
institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired
undertake securities business; “Office” means the Office of the Securities and Exchange Commission. Clause 2. A securities company shall provide policy and regulation on operational control and information
Securities and Exchange Commission No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation
, Section 36, Section 41, Section 43, Section 44, Section 45 and Section 64 of the Constitution of the Kingdom of Thailand so permit by virtue of law, as well as Clause 16(6) of the Ministerial Regulation
Notification of the Securities and Exchange Commission No. KorKhor. 10/2551 Re: Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation
Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) in conjunction with Clause 2 of Ministerial Regulation concerning Granting Approval for Undertaking of