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

association registered under Thai law having the purpose to regulate and supervise members for practicing profession as an appraiser to comply with rules, standards and ethics regarding appraisal profession

deep-out-of-money • Premium ratio (measured against KRX options) by LPs • Stricter assessment of LPs, including the level of implied volatility • Supervise the order routing speed 3rd measure (Mar 2012

contact subject to the approval by the Office proceeding in accordance with the rule prescribed by the Office, and shall supervise such Category A investor contact to comply with the rule prescribed by the