Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short-term investment shall not be made
person having no domicile in Thailand; (10) mutual funds; (11) provident funds; (12) private funds; (13) pension funds; (14) other juristic persons as notified by the Office. Clause 10. In order to prevent
Exchange Commission governing establishment of mutual funds and execution of agreements for management of private funds; (14) “mutual fund management company” means a securities company licensed to undertake
operator’s proprietary trading shall arrange to have systems for administrative management and management of risk which could arise from such investment, at least in the manner in accordance with the guideline
securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of interest and leaking of
management of proprietary portfolios; (7) Any other financial institutions specified by the Office with the approval of the Securities and Exchange Commission; (8) Securities companies for the management of
ตลาดหลักทรัพย์ ซึ่งเพิ่มรายละเอีดยของบัญชีเพื่อบริษัท เป็น 1 บัญชี proprietary port ของบริษัทที่มีวัภถุประสงค์เพื่อตนเอง และ 2. บัญชี market maser (2) ข้อมูลการซื้อขายอนุพันธ์ของลูกค้าในประเทศ การซื้อขาย Future
brokerage; (2) securities dealing; (3) securities underwriting; (4) mutual fund management; (5) private fund management. 1The provision under Paragraph 1 shall not be applicable to a licensee under Paragraph
acts under the provisions of this Act or other laws. In exercising the power and duty of the Office under the first paragraph, the Office shall have the power to: (1) own, possess, hold any proprietary