establish the documented policy under Clause 8(4) which address the following subject matters at a minimum and review the policy regularly: (1) define access right to information and information system
where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an effective operating system to protect such investment or entry into a
Nature of Options Options is a contract in which the seller gives the buyer the right to buy or sell the underlying asset at a fixed price within a specified period of time and conditions, or the right to
Stock Exchange of Thailand; “ investment unit ” means: (1) The investment unit specified under the Law on Securities and Exchange ; (2) A financial instrument or certificate representing the right of the
) Consolidated The Company only ( 20..) ( 20..) (20..) (20..) 1. Cash and cash equivalents 2. Long-term deposits at financial institutions 3. Securities purchased under reverse repurchase agreement 4. Investments
transaction with the best execution for the fund or being vital and beneficial to the fund at that particular time; (2) being an at arm’s length transaction; and (3) in cases where such transaction is cross
contract to the other party at a given time in the future, and the other party, in turn, is obliged to make payment for such goods at a price specified therein; (2) a contract in which one party is obliged
) securities; (3) other assets; (4) any benefits accruing from the assets under (1) - (3), for example, right in dividend or interest or right to purchase newly issued shares and right to attend and to vote in a
on the governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned by
at least. [M] · Providing consistently an inspection of operational recording of user . [A] · Providing a preventing measure for alteration of other record and limitation of right for only concerned