structure, operational systems or other events which significantly affect the operations, intermediaries shall take the actions required under (1) without delay. Clause 9 In the event that a major operational

(1) without delay. Clause 10. In the event that a major operational disruption occurs, a securities company shall report to the Office the cause leading to such disruption together with relevant

without delay, and the processes and procedures shall be improved in line with the policy which has been changed; (4) report on the conformance of the information technology governance policy shall be

ประโยชน์ไม่ได้จะมีความเสี่ยงสูงกว่า เนื่องจากอาจเกิดกรณี project delay หรือ cost overrun 4. การแบ่งชนิดของหน่วยลงทุน (กอง infrastructure fund) เช่น หน่วยลงทุนชนิดคล้ายทุน (equity tranche)  มีความเสี่ยงสูง

commitment or the fund project without any delay. Division 2 Allotting and Offering for Sale of the Fund Units _______________ Clause 24/1 2 In this Division: “ listed company ” means a company whose shares

or documents given by a client, the intermediary shall review and update such information without delay by taking the following actions: (a) gather and recheck information in addition to the normal

client’s assets without delay upon receivership by court order, in compliance with the following regulations: (1) The SEC Office shall proceed with the segregation and management of the client’s assets by

of time without delay. Clause 6. Any securities company which has an executive with prohibited characteristics as specified in Section 103 of the Securities and Exchange Act B.E. 2535 (1992) or as

. In case of the occurrence of any event which may significantly affect the governance of information technology, the policy on the governance of information technology shall be reviewed without delay

retrieval for review or inspection by the SEC Office without delay; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Chapter 3 Compulsory