Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short-term investment shall not be made
Capital Adequacy of Some Specific Intermediaries (No. 2 ) dated 20 February 2017. Clause 2 In this Notification: “ intermediary ” means an intermediar y engaging in the business of investment advisory
facts which should be revealed in order to deceive or materially mislead clients pertaining to derivatives, goods or variables. Clause 9 2 In engaging in derivatives with clients, the derivatives dealer
July 2006 shall be repealed and replaced by the following provision: “ Clause 13. When engaging in any affiliated transaction for the fund, the management company shall act in the interests of the fund
ตราสารหนี้ หรือ หุ้นกู้ที่ออกและเสนอขายโดยบริษัทที่ได้รับการจัดอันดับความน่าเชื่อถือในระดับสูง · สมดุล (Growth-Income Fund) เป็นการลงทุนที่มีความเสี่ยง ระดับปานกลาง การลงทุนเป็นแบบผสมระหว่างหลักทรัพย์ที่
references when engaging senior audit staff? Does the firm examine or interview candidates before recruit them? C Training 1 Does the firm have an induction course for new audit staff on firm’s policies and
of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling precious metal in Thailand; (3
derivatives business in the category of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling
this regard, the securities company shall comply with the rules as prescribed in Clause 6, Clause 7 and Clause 8. Clause 6 A securities company engaging in short selling shall proceed or arrange its