Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a
DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning
and registered with the Office, whose main objective is to promote and develop securities businesses in the category of investment management; “Customer” means any person who authorizes a management
Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities
บลจ.เอง และกรณีไม่มีราคาตลาด) - การเปิดเผยข้อมูลหลังทำธุรกรรม 3 มาตรการควบคุมดูแล staff dealing + โยนไปประกาศสมาคม 1. นโยบายจาก BoD และระบบด้าน risk/ inside info/ การลงทุน/ COI 2. ต้องจัดเก็บเอกสารหลักฐาน
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By
additional disclosure in the Annual Registration Statement. For example, the Company plans to gain a 20-percent market share in the next three years or to develop production technology to reduce production
’ right exercising, prevention of the use of inside information, prevention of conflicts of interest, responsibility towards stakeholders, compensation in case of rights violation, anti-corruption action
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________
institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired