management company arising from such termination, with the exception of the case that the agreement is made with a client that is a provident fund or the Government Pension Fund; (5) In the case of a margin
management company arising from such termination, with the exception of the case that the agreement is made with a client that is a provident fund or the Government Pension Fund; (5) In the case of a margin
provident funds Regulations SHARE : Detail Content Private Funds or Provident Funds 2. Management of private funds or provident funds 2.1 Disclosure of Information After a private fund management agreement
provident funds Regulations SHARE : Detail Content Private Funds or Provident Funds 2. Management of private funds or provident funds 2.1 Disclosure of Information After a private fund management agreement
trading orders of securities or derivatives of any client before completing the order of such client (Section 244/1 and Section 244/2) Group 3: Securities Price Manipulation
trading orders of securities or derivatives of any client before completing the order of such client (Section 244/1 and Section 244/2) Group 3: Securities Price Manipulation
liabilities and risk haircuts – to ensure that there are sufficient liquid assets to absorb losses, maintain stable financial status and, in the event of insolvency, prevent damage to client assets and the
' representative appointment agreement (in case of secured bonds/ bonds with a bondholders' representative). - For the offering of bills, the approval will be granted upon submission of a report on features of the
general obligatory characteristics between the parties, "agreement on securities borrowing and lending made in connection with undertaking securities borrowing and lending business under the first paragraph
รับและการคงไว้ซึ่งความสัมพันธ์กับลูกค้าและงานที่มีลักษณะเฉพาะ (Acceptance and Continuance of Client Relationships and Specific Engagements) การปฏิบัติงาน (Engagement Performance) ทรัพยากร (Resources