, the Ministry of Commerce; (3) the updated regulations of the founding securities companies certified by the Office of Partnership Registration, the Ministry of Commerce. Clause 2 Any trade association

general public as being ready to engage as an agent in the business of trading in derivatives with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the

together with evidentiary documentation in accordance with the procedures and methods specified in the Licensing Manual for the Public: (1) consisting of at least fifteen securities companies; (2) the group

to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a

) “ insider information ” means a material fact which would affect the price of a securities and has not been disclosed to the public, and has become known to a securities company during the course of the

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

, the person shall submit an application for approval to the SEC Office together with accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering

significant facts which effect the change in the price of securities but has not yet been disclosed to the public and a securities company has acquired during the course of business undertaking; “executive

-ขาย ตราสารหนี้ตัวเดียวกัน ผ่าน dealer เจ้าเดียวกัน และอยู่ในช่วงระยะเวลา 5 วัน 4. ในกรณีที่ต้องส่งรายงานขึ้น Web Site โดย Link URLผ่าน web site ของสำนักงานกลต. · ให้แสดงรายงานเป็น Public Information

ethics and professional standards of conduct. In the case where the performance of duty involves non-public information, operational rules for the prevention of the disclosure of confidential information