informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance
for the custody of client’s assets. In this matter, the securities company must strictly supervise the implementation of such guidelines. The rules or guidelines under the first paragraph must include
deep-out-of-money • Premium ratio (measured against KRX options) by LPs • Stricter assessment of LPs, including the level of implied volatility • Supervise the order routing speed 3rd measure (Mar 2012
Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short- term investment shall not be made
Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules
Re: Operations Relating to Lending of Money for Purchasing Securities and Lending of Securities to Non-Institutional Clients for Making Short Sale By virtue of Clause 5 of the Notification of the
credit rating according to clause 7/2; (5) investing in investment unit of money market fund which has unit repurchasing policy on a daily basis. (6) investing in repurchase transaction of the securities