specified by derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall among

derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall among each departments

of conduct specified by derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective

risk, the assets under Paragraph 2 shall include credit facilities granted by a commercial bank. The securities clearing house shall calculate the value of financial resources to ensure that it is

approach 2.1 Specification of a new type of securities under the SEA to ensure no regulatory gap • Securities, according to the SEA, are specified on a positive list and may not cover, in some cases

from taking certain actions. Examples of the covenants include a. prohibition on the payment of dividends if certain conditions are met in order to prevent depletion of the issuer’s funds that are

foreign currencies are expanded to cover more investment products; units of foreign collective investment scheme, for instance.The consultation paper is available on www.sec.or.th. Stakeholders and

that are aimed at protecting debt securities holders, which can require the issuer to take certain actions, or to refrain from taking certain actions. Examples of covenants include; (a) prohibition on

otherwise, and shall include a person having entered into an agreement for full or partial power of management. Clause 2 The operation under a regulatory sandbox of a person who is approved by the SEC Office

include a person having entered into an agreement for full or partial power of management. Clause 2 The operation under a regulatory sandbox of a person who is approved by the SEC Office under this