ซ้ือขายล่วงหนา้แก่ผูล้งทุน Trade : การให้บริการซ้ือขายหลกัทรัพยห์รือสัญญาซ้ือขายล่วงหนา้ตามค าสั่งลูกคา้ Trade with discretion : การใหบ้ริการซ้ือขายหลกัทรัพยห์รือสัญญาซ้ือขายล่วงหนา้ แก่ผูล้งทุน โดย
_____________________________________________________________________ Remark: The reason for issuing this Notification is to administer financial institutions which are licensed to undertake securities borrowing and lending business to hold custody of clients’ assets
_____________________________________________________________________ Remark: The reason for issuing this Notification is to administer financial institutions which are licensed to undertake securities borrowing and lending business to hold custody of clients’ assets
under the Framework in a Host Jurisdiction for the duration of its validity. (2) The Host Regulator has the discretion to determine if the ACMF Pass would be renewed at the end of the 2-year period
instruments for efficient portfolio management and hedging purposes. The Fund may, at its discretion, pay dividends out of capital or gross income while charging all or part of its fees and expenses to its
Notification, of an applicant, directors, managers and administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions
) having internal control system which is approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or
, administer and manage any risks which arise or may arisen from conducting business to be at a controllable level which have no impact on undertaking of fund management; (c) determine efficient control
รัพยดิ์จิทลั ของลูกคำ้ ไปหำประโยชน์ดว้ยวิธีกำร ต่ำง ๆ โดยสำมำรถตดัสินใจ แทนลูกคำ้ได ้(มี discretion) 3 ลกัษณะบริการ ท่ีปรึกษาฯ นายหน้าซ้ือขายฯ ผู้ค้าฯ ศูนย์ซ้ือขายฯ ผู้จัดการเงินทุนฯ ซ้ือขำย/ แลก เปล่ียน
where the SEC Office declines to grant an approval, on its own discretion, under Clause 7, or prohibits to perform the duties, suspends or revokes an approval under Clause 8(2) and (3), or Clause 9(3), or