appropriateness and the sufficiency of the information for supporting the investors to make a decision for investing and [ii] measures for protecting the investors. In this regard, the SEC Office may determine an
สำนักงาน ก.ล.ต. จะจัดให้มีการแจ้งเตือนผู้ประกอบธุรกิจเป็นข้อมูลอิเล็กทรอนิกส์ ไปยังอีเมลของผู้ประกอบธุรกิจ (reminder email) 4 เช ่น อ ี เมลของผ ู ้จ ัดการ (MD) อีเมลของผ ู ้กำก ับด ูแลการปฏิบ ัต ิงาน
equipped with knowledge and capability in trading futures contracts and protecting their own interest. Notification of the Securities and Exchange Commission No. KorThor. 3/2551 Re: Additional Determination
. The securities company shall provide a measure for protecting information security and computer system and network which is sufficient for preventing an unauthorised person from accessing, acknowledging
benefits of members, investors or persons involved with the derivatives exchange, and at least one person of which shall be an investor or a person capable of protecting the benefits of investors, and at
4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and procedure of such systems in
, risk management system, and a system protecting conflict of interest and shall prescribe rule and procedure of such systems in written with an approval of Board or Executive Board of securities company
เดียวกัน ให้ระบุข้อมูลดังกล่าวไว้ด้วย หลักเกณฑ์การประเมิน Ease of Doing Business : ในหัวข้อ Protecting Minority Investors มีการประเมิน extent of corporate transparency index ซึ่งพิจารณาจากการเปิดเผยข้อมูลใน
trail); (e) having a work system for enhancing and protecting the orderly operating mechanism of the trading system; (f) having a controlling mechanism to ensure that the service user who offers to buy or
monitor and examine post- trading activities (audit trail); (5) having a work system for enhancing and protecting the orderly operating mechanism of the trading system; (6) arranging disclosure of