of the agricultural derivatives business according to the type specified in the license only after the SEC Office has examined and viewed that the licensee can demonstrate its possession of: (a) good
licensee can demonstrate its possession of: (a) good and efficient management; (b) efficient policies and measures on prevention of conflicts of interest, prevention of access to inside information between
licensee can demonstrate its possession of: (a) good and efficient management; (b) efficient policies and measures on prevention of conflicts of interest, prevention of access to inside information between
than one million Baht and not less than seven percent of the general liabilities and collateral (if any): (a) not keeping the client’s assets in its possession; (b) not having investment in or holding
percent of the general liabilities and collateral (if any): (a) not keeping the client’s assets in its possession; (b) not having investment in or holding securities or derivatives for its 4 investment; (c
percent of the general liabilities and collateral (if any): (a) not keeping the client’s assets in its possession; (b) not having investment in or holding securities or derivatives for its 4 investment; (c
company. Clause 8 Any person subject to consideration of offense or being named in a written criminal complaint filed with the inquiry official, resulting in the possession of untrustworthy characteristics
long stocks are held for. Motivated by successes of long-term investment professionals such as Warren Buffett, we classify funds based on their holding horizon (long and short). However, there is mixed
more motivated to build a strong corporate culture. To explore this issue further, we execute additional analysis as follows. First, we explore an alternative proxy for firm size. Instead of the log of
In case personnel in the capital market business have breached or failed to comply with Clause 23, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of