Objectives of the Supervision of Securities Clearing Houses and Central Securities Depositories Clause 2 A securities clearing and settlement system is a fundamental system which has connection to the
แบบแจ้งชื่อผู้บริหารของบริษัท “Fill in Form 35-E1 via the SEC electronic filing system only. Then, print out the completed form, affix the authorized signature and submit the hardcopy to the SEC
units for exchanging with underlying shares of ETF subject to ETF scheme, as the case may be, in the possession of the securities company or its client during placing short selling order, in case of short
account: (a) there shall be [i] an asset for exchanging with the ETF units or [ii] the ETF units for exchanging with underlying shares of ETF subject to ETF scheme, as the case may be, in the possession of
licensee can demonstrate its possession of: (a) good and efficient management; (b) efficient policies and measures on prevention of conflicts of interest, prevention of access to inside information between
, to be approved by the Board or Committee of the securities company, on the following issues: (1) the effective system of internal control and system to prevent conflict of interest; (2) risk management
securities company shall have a code of conduct in writing, to be approved by the Board or Committee of the securities company, on the following issues: (1) the effective system of internal control and system
Intermediary Clause 19 An intermediary shall report the appointment and the discontinuation of the following persons to the SEC Office through a system prepared on the website of the SEC Office within 7 business
witness or expert witness; (4) requesting any person to submit relevant documents in such person’s possession; (5) conducting an on-site inspection. The alleged person shall cooperate with the authority in