Office of the Securities and Exchange Commission SorThor. 41/2543 Re: Approval for the Execution of Derivatives Transaction Outside the Stock Exchange of Thailand 08/09/2000 26/09/2000 6. Report/Form
of applying for approval for accepting clients’ trading orders of capital market products outside the office and for performing other duties from home in line with the New Normal standard. The SEC
will be allowed to manage REITs? non-real estate assets, providing that there must be a separation of management and compliance units while Chinese wall must also be in place. Outsourcing of the
, PPP) Market Capitalisation (USD millions) Market CAP/GDP (nominal) Number of all Listed Compa- nies Bangladesh* 244.33 46 999 47% 302 China** 10 085.71 4 762 836 81% 2 063 Chinese Taipei** 821.78 818
company (Chinese wall). There shall be at least measures for prevention of inside information leaking between work units and personnel who have an opportunity to access inside information of a securities
work units and personnel of a securities company (Chinese wall). There shall be at least measures for prevention of inside information leaking between work units and personnel who have an opportunity to
(Section 98(7)) | - |- Accept purchasing or selling orders outside head office or branch | - |- Outsourcing Services | - |- Joint Management Agreement / Other Agreements |- Auditors | - |- Approval (Section
)) | - |- Selling Agents (Section 100) |- Internal operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders outside head office or branch
outside head office or branch | - |- Outsourcing Services | - |- Joint Management Agreement / Other Agreements |- Auditors | - |- Approval (Section 106) |- Accounting and Financial Statements (Section 105