Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
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
technical competence in fast-changing areas? 3 How do partners deal with meeting various different targets e.g. clients / new work gained, fee income, recovery rates, debt recovery (including timeliness
client. Nevertheless, the amendment process should take less than 30 days as of the changing date. In the case where the derivatives broker deposits or invests the segregated asset of client with financial
objective in undertaking fund management business for short and long term. Objective should be set for the short-term plan and criteria/factor for evaluation of the accomplishment of the plan should be
กรณีซื้อขายหุ้นแบบ big lot (put-through) ใน ตลท. เว้นแต่เป็นการลงทุนในเงินฝากหรือตราสารเทียบเท่าเงินฝากที่บุคคล ที่เกี่ยวข้องซึ่งเป็นสถาบันการเงินเป็นผู้ออกหรือคู่สัญญาเพื่อประโยชน์ในการบริหารสภาพคล่อง
securities underwriting. Clause 5 A securities company shall set up a work unit responsible for custody of clients’ assets which is independent from a work unit responsible for securities trading (front office
Business , an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain details in compliance with the rules under Clause 7 or
, the Office of the Securities and Exchange Commission hereby notifies that 6 July 2009 has been set as a special holiday for securities companies and derivatives business operators. Notified this 11th
Clause 30 of the Notification on Standard Conduct of Business , an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain