guideline for consideration of any problematic issues which many arise from the enforcement of this Act.
conflicts of interest that may arise additionally.The proposed amendment contains several key points of change, including (1) determination of additional related persons in considering appointment of asset
, reporting and disclosure of any actions where conflicts of interest may arise and proprietary securities trading. The consultation paper for draft rules is available on www.sec.or.th. Stakeholders and
make them realize any risks that may arise to personal data and properly proceed with risk prevention in time.” _____________________________
any actions where conflicts of interest may arise, such as soft commission, related party transaction, proprietary trading and staff dealing. In addition, effective risk management system for
being closed out and the responsibility for any loss that may arise. When an investor has a futures position, the derivatives broker will mark to market the futures position of investor at least once at
futures position being closed out and the responsibility for any loss that may arise. When an investor has a futures position, the derivatives broker will mark to market the futures position of investor at
with the derivatives broker. (Translation) 4. Risk from futures position being closed out and the responsibility for any loss that may arise. When an investor has a futures position, the derivatives
operator’s proprietary trading shall arrange to have systems for administrative management and management of risk which could arise from such investment, at least in the manner in accordance with the guideline