. Clause 3. The derivatives broker shall not trade derivatives contract or any other contracts with the same characteristics as derivatives contract for their proprietary account, unless such derivatives
agency used for considering the issuance of license, registration or permission to operate the derivatives trade without having to apply for a license or registration including the rule used in supervising
prevention of damage caused by risks arising from business undertaking to assure that there will not be any adverse effect on business undertaking of the securities company . All types of risks which may occur
stipulted by the SEC Office. “ general liabilities ” means total liabilities deducted by qualified liabilities ; “ total liabilities ” mean: (1) all liabilities shown in the financial statement but not
to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a
, the Ministry of Commerce; (3) the updated regulations of the founding securities companies certified by the Office of Partnership Registration, the Ministry of Commerce. Clause 2 Any trade association
office] from the work units and personnel responsible for post-trade operation [back office], and shall arrange for the personnel responsible for securities trading to submit a report on securities trading
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or
shall cover all kind of potential risk occuring in the operation of business; (3) to protect against the use of inside information of units and personnel of the securities company (Chinese wall). By at
: ประกาศ COI และประกาศเกี่ยวกับการลงทุน เพื่อเป็นทรัพย์สินของผู้ประกอบธุรกิจ: ประกาศ Prop Trade ) ซึ่งได้มีการพิจารณาปรับปรุงแก้ไข ร่างประกาศในประเด็นอื่น ๆ เพิ่มเติมเพื่อให้มีความเหมาะสมยิ่งขึ้นด้วย