exposure is acceptable or not. The Client should also consider a potential of return on acquiring a position, amount of premium and transaction fees and possible losses. 3.2 Fees on Derivatives Trading Prior
, except for the advertisement of retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 12. In case the
retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 5. In case of advertisement of guaranteed fund or private
market products based on an automated program that runs product selection and trading placement without interference throughout the transaction process. “ intermediary ” means: (1) securities business
automated หรือการควบคุมแบบป้องกันและติดตาม 10.4 บริษัทกำหนดให้มีการควบคุมภายในในทุกระดับขององค์กร เช่น ทั้งระดับ กลุ่มบริษัท หน่วยธุรกิจ สายงาน ฝ่ายงาน แผนก หรือกระบวนการ 10.5 บริษัทมีการแบ่งแยกหน้าที่ความรับ
) securities companies other than the securities company under (1) and (2) but not including financial institutions established by any other law which have obtained securities business license after acquiring a
financial institutions established by any other law which have obtained securities business license after acquiring a status as financial institution; (6) a person who obtains derivatives business license in
included in the private fund management agreement. 3.3.3 Acquiring and Delivering of assets of the fund Objective A management company shall have a clear rule of practices concerning the acquiring and
the current one. - in case of acquiring assets, clarify the types of assets and the approximate spending amount. - in case of investing in a business, clarify the nature of the business to be invested
the process of running automated tools against defined IP addresses or IP ranges to identify known vulnerabilities in the CS environment. A report is generated and IT team will assess and manage system