Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
public limited company including a juristic person established by specific law with the object of undertaking business. "securities company" means any company, or financial institution licensed to
have statements or warnings under Clause 15 or any other warnings presented clearly through any media or object and ensure that they are at least as prominent as the majority information in such
Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...
minimum: 1. Security of IT assets ; - access control [Referring to Item 5]; - physical and environmental security [Referring to Item 7]. 2. Information management and confidentiality: - asset classification
SEC, prepare and keep account of such advances. The item and amount of asset as indicated in the account under the first and second paragraph are presumed to be correct, unless proven otherwise.
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
appropriate audit evidence and the possible effects are material, but not pervasive, resulting from: ( 2.2.1 circumstances beyond control of the entity (paragraph.........); ( 2.2.2 circumstances relating to
effects on the financial statements of undetected misstatements, if any, could be material but not pervasive ( 2.2.1 Circumstances beyond the control of the entity (paragraph number........) ( 2.2.2
with each other as parent company or subsidiary , or each legal entity in such group is held by the same legal entity, whether directly or indirectly, in the amount or in aggregation of exceeding fifty