appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.
company trade assets or enter into a contract for any fund which is not special mutual fund, having the counterparty who is an affiliated person and such transaction is in the manner of unfair treatment to
are reliably and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct
, the Ministry of Commerce; (3) the updated regulations of the founding securities companies certified by the Office of Partnership Registration, the Ministry of Commerce. Clause 2 Any trade association
: ประกาศ COI และประกาศเกี่ยวกับการลงทุน เพื่อเป็นทรัพย์สินของผู้ประกอบธุรกิจ: ประกาศ Prop Trade ) ซึ่งได้มีการพิจารณาปรับปรุงแก้ไข ร่างประกาศในประเด็นอื่น ๆ เพิ่มเติมเพื่อให้มีความเหมาะสมยิ่งขึ้นด้วย
decision making to invest or trade capital market product and could access information on investment by virtue of performing such duty, regardless by whichever name of position of such person is called
Re: Approval for Investor Contacts and Standards of Conduct dated 3 December 2004; “Authorized officer” means any person who is registered by the Stock Exchange as agent of securities company to trade
person who, in the ordinary course of business, holds himself out to the general public as being ready to engage as a counter party in a derivatives contract with any person who intends to trade in
counter party in a derivatives contract with any person who intends to trade in derivatives, by entering or offering to enter into such contract, and has been licensed or registered under this Act
” means a person who performs the duty of assisting decision making to invest or trade capital market product and could access information on investment by virtue of performing such duty, regardless by