towards, and integrity and security of, the overall financial system, and to improve the competitiveness and image of the Thai capital market. Part 2 Principles for Operation of Derivatives Clearing Houses
hand, Libya and Nigeria, both members of OPEC that did not participate in the supply reduction measure, and has consistently increased their production which led to higher market supply. Also, oil price
advice; (6) measure on prevention of conflict of interests provided by the investment advisory company; (7) procedure and source of information used in giving advice to the customer; (8) procedure and
] preventing leaking of inside information between units and personnel, [iii] internal control and [iv] risk management for operation of derivatives business in the category to be commenced, including measure
operation of securities business in the category to be commenced including measure for controlling and monitoring the compliance with the policy and measures set in place; (c) operational system promptly for
notification to protect any acts that may create conflict of interest, specified operating system to prevent such acts including measure on entering into transaction of management company to protect the benefit
. Therefore, the Office hereby deems appropriately specifying this notification to protect any acts that may create conflict of interest, specified operating system to prevent such acts including measure on
mechanism or measure which render the securities underwriter to perform duties independently: (1) in case the securities underwriter, or parent company or subsidiary company of the underwriter is the sponsor