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

Prop Trade สามารถลงทุนในหน่วยลงทุนภายใต้การจัดการ ของตนเองได้ ดังนี้ **(1) กรณีเป็น seed money ที่ลงทุนเพื่อความมั่นคงของกองทุนรวมโดยได้รับ การผ่อนผันจากสำนักงานตามประกาศว่าด้วยข้อจำกัดการถือหน่วยลงทุนใน

where the employer remits the money into the fund late (b) Having adequate system and measures to control correctness of the date of calculation of the number of unit (trade date) of each member e.g

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: Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism Reference is made to the Anti­Money Laundering Office (AMLO)’s amendment to the Anti-Money

and coins holding by the company, including miscellaneous cash, money orders, postal bills, due cheques still have not yet been deposited, travelers’ cheque s and bank drafts 2) bank deposits in current

recording device. Clause 17 A securities company shall not trade securities by using inside information in such a way that takes advantage of outside persons or disclose such inside information for other

, 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

Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism _____________                 By virtue of (1) Clause 4(2) of the Notification of the Securities and Exchange

securities and the amount of money paid for securities which have been purchased by the underwriter as well. The report as referred to in the first paragraph shall be made in accordance with the rules and