Does the firm have documented responses e.g., policies and procedures appropriate to the size and nature of the firm? B9 Does the firm’s leader communicate its policies for quality to its personnel? If
fully documented according to the SEC Complaint Procedure, which applies to all complaints in general. The complainant must provide the SEC with sufficient facts and related evidence for his or her own
(Litzenberger and Ramaswamy, 1979) ⋄ Sale-to-price ratio (Barbee, Mukherji, and Raines, 1996) ⋄ Other asset classes, as documented by Asness, Moskowitz, and Pedersen (2013) ⋄ Fama and French (1993, 2015, 2018
? If yes, describe 18 Does the firm have staff consultation unit or counselor/counselee system? D Performance Evaluation 1 Does the firm have documented and organized appraisal policy and process? If yes
of derivatives trading of each customer in writing, whether in Thai or English, and either in the form of documented information or electronic information. Clause 7. Derivatives broker shall keep the
in Thai or English, and either in the form of documented information or electronic information. Clause 7. Derivatives broker shall keep the evidence relating to derivatives trading under the following
documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given to customers and
either in the form of documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given
roughly unchanged. Robustness Checks Conclusions • An out-of-sample test of asymmetry in permanent price impacts documented from block and institutional equity trading in US. • Most importantly, show the