offered for sale in an ASEAN country; (c) debt instruments without high-risk or complex characteristics issued and offered for sale in an ASEAN country. “ agricultural commodity trading management official
any person as provided in (1) “Registered company” means any company holds registered or authorized securities for trading in the securities exchange; “Management company” means any mutual fund
agencies under such laws in respect of any offense relating to unfair activities on securities trading or management in a deceitful, fraudulent or dishonest manner, or under the laws relating to money
policies and rules for investment including policies and measures in controlling and managing risks from derivatives trading and operational management, a system to prevent conflicts of interest and leaking
, derivatives intermediary or life insurance company whether established under Thai or Foreign law. “ payment information management for securities trading ”5 means services relating to collecting, organizing and
duties relating to operational function, compliance function, internal audit or risk management, for instance, a compliance committee, a [proprietary trading] investment committee or a risk management
execution or preservation of confidentiality (2) A management company should carry out transactions bearing in mind it is a representative of the client whereby making investment or issuance of trading order
Securities Companies shall be in accordance with Chapter 2; (3) Additional Rules for Proprietary Trading of Derivatives Brokers shall be in accordance with Chapter 3. The management of investment of a juristic
funds and provident funds, the management company shall use the closing price of such equity instruments as of the first trading day after the Stock Exchange of Thailand’s suspension order has been lifted
relating to financial business by an authority in charge. In addition, the management company shall not have records on offences relating to unfair securities trading or mismanagement in the manner of