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
notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the
review of the existing laws and regulations. The reviewed laws and regulations that are not necessary or do not keep pace with situations or remain obstacles to living or occupations will be abolished
the criteria in order to keep it current. Consideration is given to the fact that the rates of fee should be equivalent, simple, and appropriate for the capital market environment , for example
. ________________________Note:*Regulatory Guillotine is the regulatory review of the existing laws and regulations. The reviewed laws and regulations that are no longer necessary or do not keep pace with situations or remain
. 2535 (1992) and the Derivatives Act B.E. 2546 (2003) do not keep pace with these rapidly changing environments which may unintentionally limit the area that business operators can make use of
._____________________Remarks:* Regulatory Guillotine is the regulatory review of the existing laws and regulations. The reviewed laws and regulations that are unnecessary or do not keep pace with situations or remain obstacles
, investors can keep updates on information and the list of business operators participating in the "Number 5 Savings” Project," a joint initiative by the SEC and the mutual fund industry launched on
peruse the tender offer information cautiously and keep abreast of the offer price adjustment and the required extensions. Regarding the non-compliance with the tender offer rules, the SEC will consider to