oneself or other persons, in any manner that is likely to cause a disadvantage to the client: (1) placing, modifying, or cancelling a trading order of securities or derivatives related to such securities by
derivatives dealer has outsourced other persons to undertake the function of contacting, soliciting or giving advice relating to derivatives transaction or analyzing the value or advisability of the derivatives
derivatives dealer has outsourced other persons to undertake the function of contacting, soliciting or giving advice relating to derivatives transaction or analyzing the value or advisability of the derivatives
derivatives dealer has outsourced other persons to undertake the function of contacting, soliciting or giving advice relating to derivatives transaction or analyzing the value or advisability of the derivatives
efficiency of frameworks for monitoring and analyzing systemic risk to examine circumstances and detect weaknesses promptly and prevent severe effects on the overall capital market. In addition, SEC engages
bag of Thai words was developed for analyzing wordings in the KAM sections of 334 Thai-listed firms during 2016–2017. Literature review – The informative value of KAMS KAMs - Areas of higher assessed
accessing the password by other person, the user should change the password instantly. · Having an encryption the file that keeping the password for the purpose accessing or modifying. [M] · Inspecting
or modifying. [M] o Inspecting consistently a name list of user for the importance operational system4 and inspecting a name list account of unauthorized user such as the name list account of resigned
to have evidence related to the derivatives trading and maintain such evidence in complete and up-to-date, including keeping of report or article analyzing value or advisability of trading in
, including keeping of report or article analyzing value or advisability of trading in derivatives, products or variables prescribed in a derivatives contract, in accordance with the rules specified in the