. Such report shall contain at least the following particulars: (1) Incorrect unit value; (2) Correct unit value; (3) Causes of the incorrect unit value; and (4) Preventive measures against the incorrect
particulars: (1) Incorrect unit price; (2) Correct unit price; (3) Causes of incorrect unit price; and (4) Preventive measures against incorrect unit price, except where the incorrect unit price is caused by
) Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 29/2549 Re: Acts That May Create Conflicts of Interest on Fund Management and Preventive Rules dated 19 July 2006; (2
matching orders or arranging for counter parties, or by way of providing a trading facility for or facilitating those having intention to trade in derivatives to be able to agree upon or enter into a
trading of the service offering system and in case of providing services of the system for matching trading orders, the information on the ranking and matching of trading orders shall be disclosed as well
market condition for matching such trading order. (signed)…….………………authorized person (……………………) For and on behalf of the ...........................................Company I, (Mr./Mrs./Miss
and conditions: (1) there shall be management of risks arising from outsourcing thereof; (2) there shall be a preventive measure to ensure business continuity in case another intermediary fails to
cover at least the following matters: (a) procedure and method for trading of the securities trading center and the ranking and matching of trading orders; (b) types of securities eligible for trading in
Company inspects, monitors and assesses the risks affecting the achievement of the vision, objectives, goals or strategy on the operation of the Company, and identify the preventive measures at an
software; (2) preventive and detective controls of the use of unauthorized software and known or suspected malicious websites; (3) installation and regular update of malware detection software, as well as