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
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
DERIVATIVES TRADING SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning derivatives (contract), derivatives business
DERIVATIVES TRADING SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning derivatives (contract), derivatives business
development and will continue to monitor with the implementation going forward. Annual Report 200914 The Master Plan The Committee has set out the vision and 5-year (2010-2014) development objectives of the