UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, a...
the manipulation or distribution of, assets derived from such acts. (2) regulations specifying the composition of an association related to securities business, whereby a body of persons of at least
ถือของ วิชาชีพดงักล่าวโดยรวม 11 3. การทําให้ตลาดหรือราคาหลกัทรัพย์มีสภาพผิดไปจากภาวะปกต ิ(market abuse or manipulation)9 แนวทางแกไ้ขเพิมเติม (ก) ปรับปรุงใหก้ารกระทาํทีมีลกัษณะเป็นการสร้างภาพทีทาํใหเ้กิด
person under (6) makes interference with the subscription or allotment of securities of the securities company which manages such mutual fund so that such mutual fund obtains benefits in such a manner that
amount not exceeding fifty percent of the total outstanding investment units and in which the person under (6) makes interference with the subscription or allotment of securities of the securities company
outstanding investment units and in which the person under (1) makes interference with the subscription or allotment of securities of the securities company which manages such mutual fund so that such mutual
. For example, The company does not set expected sales much higher than its capabilities so that it will lead to sales manipulation. 8.3 The audit committee considers and inquires executives in accordance
selection and trading placement without interference throughout the transaction process. “intermediary” means: (1) securities business operator in the category of securities brokerage or investment advisory
, subscription of such shares, and manipulation of delivering and disclosing the relevant information to the Ministry of Commerce, SEC, SET, and relevant agencies or authorities; 2. Execution, alteration