Securities and Exchange Commission No. Sor Thor. 15/2558 Re: Rules in Detail related to Proprietary Trading of Intermediaries ___________________ By virtue of Section 98(7)(b) of the Securities and Exchange
รายงาน ข้อมูลปริมาณการ ปล่อยก๊าซเรือนกระจก • การจัดท ารายงาน เปิดเผยข้อมูลการ จัดการและปริมาณการ ปล่อยก๊าซเรือนกระจก วิสัยทัศน์ใหม่ของ ปตท. CONFIDENTIAL & PROPRIETARY Any use of this material without
(5)) |- Proprietary Trading |- Other Business Undertaken by Securities Companies |- Advertising (section 98(10)) |- Statutory Disqualifications for Management (section 103) |- Management Approval and
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
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
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
broker investing in 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
acceptable to the Office. Clause 2. The derivatives broker investing in securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk
e-service Online Submission See canceled document Business Operation Rules >> Proprietary Investment (Section 98(7)) Type Title Section See Document Status Notified Date Effective Date 1. Act