foreign collective investment scheme. “home regulator” means a supervisory agency of an ASEAN country which has the authority to supervise a foreign collective investment schemes or CIS operator. “brokerage

Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short-term investment shall not be made

Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short- term investment shall not be made

Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short- term investment shall not be made

supervise) มี ระดับโทษเริ่มต้นตั้งแต่ พัก 6 เดือน – เพิกถอน 2 ปี 2. กรอบระดับโทษระดับโทษ = ระดับโทษเริ่มต้น + ปัจจัยเพ่ิมโทษ/ลดโทษ ลงโทษได้สูงสุดคือ 10 ปี 7/20 * หมายถึงบุคคลที่มีอ านาจในการจัดการของนิตบุิคคล

the agency authorized to supervise derivatives trading as: □ being licensed to be a derivatives dealer; □ having been registered to be a derivatives dealer; □ being permitted to be a derivatives dealer

the supervision of the State or the agency authorized to supervise derivatives trading as: □ being licensed to be a derivatives dealer; □ having been registered to be a derivatives dealer; □ being

and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a

role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a) negative image to the

to remain fit and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which