for preventing and suppressing unfair acts related to derivatives and inappropriate derivatives trading behavior, which shall meet at least the following requirements: (1) establish the rules that
Regulations on Providing Services of Derivatives Agent ______________________ Clause 13 For the purpose of preventing and ceasing unfair acts or improper investments or transactions, an intermediary shall
Services to Clients of Securities Companies and Derivatives Intermediaries (No. 5) dated 12 February 2019 (effective on 16 March 2019). 8 Clause 13 For the purpose of preventing and ceasing unfair acts or
and procedures (if any) for preventing directors and executives from using inside information for personal gain, and for monitoring their securities trading especially during the month before public
supervisor of investment advisory company responsible for issuing rules for preventing conflict of interest, internal control of such investment advisory company, including the supervision of advisors to
Business (No. 3) B.E. 2555 9 (b) policy and effective measures for preventing conflict of interests, learning of inside information between units and personnel, internal control and risk management for
she neglects or has neglected reasonable examination in order for preventing the juristic person or business which he or she has power of management or the operator under his or her supervision (if any
reasonable grounds to believe that he or she neglects or has neglected reasonable examination in order for preventing the juristic person or business which he or she has power of management or the operator