borrower in accordance with the rule under Clause 9, and to process and report data on level of risks incurred in securities borrowing and lending to its executives in accordance with its internal guidelines
) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to
, the securities company shall submit such financial statement via the securities company report transmission system in accordance with the rule of practice of the Office of the Securities and Exchange
shall comply with the rule related to the determination of the fair value of an investment specified by the association, mutatis mutandis; (b) in case the rule under (a) does not govern the determination
) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of
the group of companies call for substantial competition, demonstrate clearly how the Company protects the shareholders' rights and ensures fair treatment or how the corporate management works for the
agency used for considering the issuance of license, registration or permission to operate the derivatives trade without having to apply for a license or registration including the rule used in supervising
submit the financial statements through the derivatives business operator reporting system following the Office of the Securities and Exchange Commission’s rule on the electronic data interchange. Clause 5
the following acts unless having improve the adequacy in accordance with the prescribed rule: (1) providing service for a new customer; (2) extending the period of service to a former customer; (3
อำนาจในการจัดการของบริษัท ซึ่งอย่างน้อยต้องประกอบด้วย ( หลักปฏิบัติในการซื้อขายหลักทรัพย์ของผู้ให้คำแนะนำ และบุคคล ผู้มีอำนาจในการจัดการของบริษัท (staff dealing rule) · หลักปฏิบัติในการซื้อขายหลักทรัพย์