each transaction. (12)3 repealed; (13)2 “connected person” means the following persons; (a) connected person under the Notification concerning Conduct Which May Constitute a Conflict of Interest in the
Paragraph 1 shall be based on the trading value of each transaction. (12)3 repealed; (13)2 “ connected person ” means the following persons; (a) connected person under the Notification concerning Conduct
Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in
market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties
conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in
intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services are reliably and trustworthy, the
เป็นเกณฑ์ conduct ที่กำหนดให้ บลจ. ต้องปฏิบัติ หาก บลจ. ไม่ดำเนินการติดตามดูแลด้วยตนเอง บลจ. สามารถมอบหมายงานดังกล่าวให้บุคคลภายนอกเป็นผู้รับดำเนินการได้ ตามหลักเกณฑ์เกี่ยวกับการมอบหมายให้บุคคลอื่นเป็น
Rules, Conditions and Procedures for the Approval of REIT Manager and Standard Conduct
power to supervise the providers of infrastructure services which use digital technology to improve the efficiency of transaction process in the capital market. Therefore, SEC is seeking comments from
Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries