the day before or of 1 hour before the occurrence of emergency incidents, as the case may be. In addition, there should be provided an approach on provision or preparation of substitute data in

complied with the Notification No. Tor Thor. 35/2556 and the Notification No. Sor Thor. 37/2559 . In case of adopting a different approach from the Guidelines, the intermediaries are required to prove that

the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By

ของตัวชี้วัดของกองทุน (benchmark) สำหรับกรณีที่เป็นการคำนวณ โดยใช้วิธี relative VaR approach (ข) เกินกว่าร้อยละ 20 ของมูลค่าทรัพย์สินสุทธิของกองทุน สำหรับกรณีที่เป็น การคำนวณโดยใช้วิธี absolute VaR

offering having purpose to register the shares as listed securities on the Stock Exchange of Thailand, the offeror shall report by using the Form 81-1-IPO as provided on the website of the SEC Office ; Other

the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and

.; (b) the complicated nature of the action or the tools using for such action such as using a disguised name of other person or establishing a company for concealment; (c) the record of behaviour of

business operation. However, using information technology may cause certain risks arising from the operation of the securities company in various respects. Among other things, the SEC Office considers these