of conflicts of interest, internal control and receipt and delivery of fund assets.  The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to

fixed details, that cover several issues such as personnel’s well-preparedness, investment management, reception and delivery of funds’ assets and risk management.SEC has studied the supervision in

details, that cover several issues such as personnel readiness, investment management, receiving and delivery of funds’ assets and risk management.SEC has studied the supervision in other countries and

appraiser in the approved list of the Office of Securities and Exchange Commission). In this regard, the Board of Directors is of the view that it is appropriate as fixing the base price with certain discount

obligations thereunder. Unless a party is able to offset its position before the settlement date, the seller of futures is obliged to make and the buyer is obliged to take delivery of the underlying asset of

by means of exchanging in-kind for delivery; (3) being short selling of ETF units by means of purchasing such securities from foreign exchange for delivery; Short selling under sub clause (2) or (3) of

for delivering; (2) being short selling by means of exchanging in-kind for delivery; (3) being short selling of ETF units by means of purchasing such securities from foreign exchange for delivery; Short

Market Supervisory Board in relation to short selling of securities by means of borrowing securities for delivering; (2) being short selling by means of exchanging in-kind for delivery; (3) being short

clients’ order for accuracy and completeness disbursement 1.5 Control of receipt and disbursement of money including relevant documents 1.6 Collection and delivery of financial and other relevant documents

receipt and disbursement of money including relevant documents 1.6 Collection and delivery of financial and other relevant documents 2. Inspection of work practices of the client relation unit 3. Inspection