19. A securities company shall examine the status of the client’s account before trading securities for the client. Clause 20. A securities company shall determine methods and procedures of securities
the following powers: (1) to enter the fund’s office or the fund manager’s office to examine the business, assets and liabilities of the fund during usual working hours: (2) to order the fund committee
or the fund manager’s office to examine the business, assets and liabilities of the fund during usual working hours: (2) to order the fund committee members, the fund manager or the fund’s officers who
Bid Ask price. Bid Ask price should be considered as a cost of this study strategy. This study examine two strategy separately which are Long strategy and Short strategy. The results inform that before
) find no clear evidence that these increases in HFT activity impacted institutional execution costs. • Brogaard et al (2014) examine the role of high-frequency traders (HFTs) in price discovery and price
in the last quarter of each year to minimize the effective lockup period, as illustrated by Figure 5. Figure 5: Aggregate fund flow over 2005 to 2016 by month (unit: million baht) Next, we examine the
examining that have compliance under system development and examine prior to transfer for operating in real condition. [A] 2.4 Transfer for operating in real condition · Inspect the transfer of operation
have compliance under system development and examine prior to transfer for operating in real condition. [A] 2.4 Transfer for operating in real condition o Inspect the transfer of operation system correct
rules on borrowing of money for purchasing securities or borrowing of securities for making a short sale; (2) examine under professional standards to ensure that the person requesting to borrow money for
In cases where any person makes a request for a transfer registration to the company, the company shall examine the validity of such transfer. If it is found that such transfer would contravene the