บลจ.เอง และกรณีไม่มีราคาตลาด) - การเปิดเผยข้อมูลหลังทำธุรกรรม 3 มาตรการควบคุมดูแล staff dealing + โยนไปประกาศสมาคม 1. นโยบายจาก BoD และระบบด้าน risk/ inside info/ การลงทุน/ COI 2. ต้องจัดเก็บเอกสารหลักฐาน

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

force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset allocation shall come into force as from 1 April 2016

proprietary trading under Clause 12(8) of the Notification on Standard Conduct of Business : (1) risk management system; (2) investment control system; (3) system for preventing access to inside information

appointed working group. The BCP as such should be kept at place of business, either inside or outside. The BCP shall cover all critical business functions of companies, including a critical operational

mutual fund management’s performance shall come into force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset

foreign investor of the same characteristic as that of the investor under (1) to (14) mutatis mutandis ; “retail client” means a client other than an institutional client; “inside information” means the

’ right exercising, prevention of the use of inside information, prevention of conflicts of interest, responsibility towards stakeholders, compensation in case of rights violation, anti-corruption action

or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to an

manager or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to