each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to
and criticality such as the access control, encrypting sensitive information or information required a high level of accuracy; 2. In handling media under Clause 17, the intermediary shall take
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
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 may arisen from conducting business to be
. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4. Approach to solve problems immediately regarding keeping the client’s assets. 5. Person responsible for taking
’ rights by allowing any person to receive financial gain beyond what should be received normally or by causing the company to lose a benefit that should have been received. (c) having an application for an
, conflagration, storm or epidemics. 9.5 Human-caused disaster, such as, terrorist, being caught as hostage or cyber attack. BCI Good practice guidelines http://www.thebci.org/ High-level principles for business
1.3 Gain (loss) on Securities trading 1.4 Gain (loss) on Derivatives trading 1.5 Interest and dividend 1.6 Interest on margin loans 1.7 Share of profit of subsidiaries and associates 1.8 Others incomes
payment of or pay for the underlying asset delivered or taken at the exercise price specified under the contract. If options expire worthless, the seller’s gain equals the amount of premium. Due to the fact
หมายความถึงค่าธรรมเนียมที่ได้รับจากการเป็นนายหน้าซื้อขายหลักทรัพย์ (2) รายได้สำหรับการประกอบธุรกิจหลักทรัพย์ประเภทการค้าหลักทรัพย์ ให้หมายความถึงกำไรสุทธิ (net capital gain) ที่เกิดจากการค้าหลักทรัพย์ประเภท