employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The

exercise its discretion or make decision in the operation for the intermediary; “ end user ” means the employees of the intermediary and contractors who engage in the operation and has access to the

units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit

the part relating to his or her responsibility, incorrect and incomplete information and functioning of the computer system, failure to achieve information or utilise computer system consistently or in

companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives, the Office has prescribed guidelines for renewal of approval for

of capital market products or [ii] the decision for investment on behalf of the client (front running); (2) using investment analysis data, prepared by itself or received for distribution, in favor of

” means any person who is authorized by the derivatives fund manager to make an investment decision to acquire benefits from derivatives for others; “Association” means any derivatives fund management

responsible for making decision on derivatives trading and managing risks of derivatives trading, and such personnel shall have knowledge, understanding and experience that benefit responsible jobs. (2) having

contract of capital market products or [ii] the decision for investment on behalf of the client (front running); (2) using investment analysis data, prepared by itself or received for distribution, in favor

การซื้อขายสัญญา ซื้อขายล่วงหน้าที่มีสินค้าหรือตัวแปรเป็นสินค้าเกษตร โดยบุคคลดังกล่าวสามารถตัดสินใจซื้อขายสัญญาซื้อขายล่วงหน้าเพื่อลูกค้าเป็นปกติ (day-to-day decision) ได้ตามความยินยอมที่ลูกค้า ได้แสดง