) determining an operational procedure for preventing conflicts of interest or access to inside information between work units and personnel of the intermediary; (2) supervising relevant personnel to comply with
) determining an operational procedure for preventing conflicts of interest or access to inside information between work units and personnel of the intermediary; (2) supervising relevant personnel to comply with
supplemented as Section 222/1 to Section 222/49 under the Civil Procedure Code of Thailand. The additional provision of Class Action in the Thai legal system results from the endeavor of the Securities and
supplemented as Section 222/1 to Section 222/49 under the Civil Procedure Code of Thailand. The additional provision of Class Action in the Thai legal system results from the endeavor of the Securities and
or the board of directors, the shareholder shall comply with the Civil Procedure Code, which prescribes the procedures for filing a civil lawsuit. In this regard, the Law clearly prescribes that the
or the board of directors, the shareholder shall comply with the Civil Procedure Code, which prescribes the procedures for filing a civil lawsuit. In this regard, the Law clearly prescribes that the
SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...
under another’s user ID. Such access allows users to execute jobs and processes with elevated privileges. Application Controls • Application controls refer to controls over the processing of transactions
obtaining an approval to appoint a person to be personnel in the capital market business and an application for the extension of the approval shall be conforming to the form and procedure as provided on the
appoint a person to be personnel in the capital market business and an application for the extension of the approval shall be conforming to the form and procedure as provided on the website of the SEC