Part 3; (4) Staff dealing as specified in Part 4; Management company shall have an operating system sufficiently and effectively in order to protect any acts according to paragraph one which may create
) Proprietary trading as specified in Part 1; (2) Affiliated Transaction as specified in Part 2; (3) Soft commission as specified in Part 3; (4) Staff dealing as specified in Part 4; Management company shall have
No. TorThor. 45/2553 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Securities Company to Establish Branch Offices (No. 2) _____________ By virtue of
Court to grant a permission for the assessment of the value of mining property rights and thus could not disclose the information within the original deadline. EARTH has already requested a permission
suggestions of the private sector and stakeholders who took part in the previous hearing on the governing prinicples.Key points of revision include (1) permission for mutual funds offered for sale to
Capital Market Supervisory Board No. TorThor. 92/2552 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Foreign Securities (No.2) ----------------------------- By virtue of Section 16/6 and
authorization from his client and made SBL trading decisions for the client when there was profit or risk with the client's account. He then informed his client via telephone with regard to the profit and loss on
found that he had been authorized to trade securities on behalf of the client. He had also used his client's account to trade securities for the benefit of himself with one day permission and credit line
Company Investment Advisory Company Derivatives Brokerage Derivatives Dealing Commercial Bank Life Insurance Company Trustee foreign juristic person / organization under digital asset business Funding
Section 92 of the Securities and Exchange Act B.E. 2535 (1992) permits securities companies to establish a branch office upon approval from the Office where the request for permission and granting