trial); (3) procure an efficient market surveillance system which shall include at least the following requirements: (a) an information recording system that provides accurate and up-to-date unique
taken into consideration. Said regulations shall include at least the following matters: (1) policies on prevention and handling of conflicts of interest; (2) adequate measures to prevent directors
off-site trading order submissions. The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are welcome to submit comments through the website, or facsimile number at
public at a financial technology exhibition held at a shopping center. The SEC thus conducted an on-site investigation to collect evidence. Today, the SEC and the ECD inspected the exhibition booths at the
backup media and copies of backup procedures in a remote location to escape any damage from a disaster at the main site, which should be given an appropriate level of protection as described in the section
procedures in a remote location to escape any damage from a disaster at the main site, which should be given an appropriate level of protection as described in the section of Physical and Environmental
directors and containing at least details as specified in the provisions under Clause 8. The policy shall be reviewed on its efficiency and appropriateness at least once a year or promptly upon occurrence of
clearing houses and central securities depositories, and benefits of the public and clients shall be taken into consideration. Said regulations shall include at least the following: (1) policies on