, companies shall arrange BCP in a written and obtain an approval from senior management and the Board or the appointed working group. The BCP as such should be kept at place of business, either inside or
the investor prescribed in (1) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the
an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to public and the securities known by its business
derivatives dealer shall ensure efficient prevention of conflicts of interest and access to inside information between operational unit and personnel, risk management in business operation, operational
; “inside information” means the significant facts which effect the change in the price of securities but has not yet been disclosed to the public and a securities company has acquired during the course of
other than an institutional client; “inside information” means the significant facts which effect the change in the price of securities but has not yet been disclosed to the public and a securities
the level of trust from investors, the management company shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to the respective work units; supervision of its
management company shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to the respective work units; supervision of its operation; risk management; selection and
Section 135 Securities and Exchange Act B.E. 2535 Section 135. In the management of a private fund, the securities company shall arrange for the appointment of a custodian with an approval of the