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
personnel responsible for post-trade operation (back office). And shall arrange for the personnel responsible for securities dealing to submit a report of securities dealing to work unit responsible for post
Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments By virtue of Section 14 and the second paragraph of Section
. ------------------------------- Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments By virtue of
reference. Notification of the Capital Market Supervisory Board No. TorThor. 63/2552 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment
reference. Notification of the Capital Market Supervisory Board No. Tor Dor. 67/2552 Re: Rules, Conditions, and Procedures for Dealing of Debt Securities _________________ By virtue of Section 16/6 of the
Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as
, conditions and procedures for brokerage and dealing in foreign securities issued under the law on securities and exchange; (2)1 “derivatives broker” means entity licensed to undertake derivatives business in
ควบคุม การกระท าท่ีอาจมี COI เช่น การรับประโยชน์ตอบแทน (Soft Dollar) การซ้ือขายหลกัทรัพยเ์พื่อตนเอง (Prop Trade และ Staff Dealing) และการท าธุรกรรมกบับุคคลท่ีเก่ียวขอ้ง (Affiliated Transaction) โดยตอ้ง ค า