Securities and Exchange Commission No. Sor Thor. 15/2558 Re: Rules in Detail related to Proprietary Trading of Intermediaries ___________________ By virtue of Section 98(7)(b) of the Securities and Exchange
(5)) |- Proprietary Trading |- Other Business Undertaken by Securities Companies |- Advertising (section 98(10)) |- Statutory Disqualifications for Management (section 103) |- Management Approval and
, without engagement in the brokerage business. ?The sharp decline in stock prices during the past several months has caused TSFC to suffer heavy osses on its proprietary investment portfolio, resulting
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proprietary trading) in this second quarter of 2020 rose to Baht 64 Billion which increased by 37% from last year. Moreover, Krungthai Zmico was capable to increase market share from 1.70% to 2.91% in this
operator’s proprietary trading shall arrange to have systems for administrative management and management of risk which could arise from such investment, at least in the manner in accordance with the guideline
securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of interest and leaking of