, registration fees, approval fees or operating fees; (3) the determination of scope and practices as regards the duties of the subcommittees and relevant officers under this Act; (4) the prescription of a

threat” means a threat that affects or damages or entails risks to the operation of the intermediary which arise from the use of services or applications on computer networks, the Internet

provident fund committee the following matters: (1) the reason for determining such investment policy which shall at least take into account the best interest of the client; (2) a conflict of interest that

. Clause 25. The derivatives broker shall put in place a reliable system to verify that the person who sends orders to the derivatives broker to take any action regarding the assets in the client’s account

being closed out and the responsibility for any loss that may arise. When an investor has a futures position, the derivatives broker will mark to market the futures position of investor at least once at

Notification: “ business operator ” means: (1) a securities company licensed to undertake securities business in the category of securities brokerage or securities dealing which is not limited to debt securities

securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act

) There should be a clear agreement between a management company and the fund committee on the trade date of each fund. The prescription of the trade date should take into consideration of the allocation of

information security incident management without delay; (3) put in place a disciplinary process to take action against any employee who has committed an IT security breach. Additional Guidelines 1. The examples

Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: “ intermediary ” means a securities company and