required to report violations or any significant abnormality to the person responsible for the information security incident management without delay; (3) put in place a disciplinary process to take action
company to take any action or omit any action as the SEC Office deems appropriate within a specified period: (1) the management of a mutual fund has the characteristic or form in accordance with the rules
. Clause 25. The derivatives broker shall put in place a reliable system to verify that the person who sends orders to the derivatives broker to take any action regarding the assets in the client’s account
person who sends orders to the derivatives broker to take any action regarding the assets in the client’s account is the rightful account owner or a person who has been authorized by the rightful account
policies which establish what is expected and procedures that put the policies into action. Questions Yes No 12.1 The company has strict policies to monitor that transactions made by major shareholders
(Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as both Houses of Parliam...
ส่งเสริมผู้ลงทุนไทยในการให้ความรู้ ความเข้าใจเกี่ยวกับการลงทุนไม่ว่าจะเป็นในด้านความเสี่ยงจากการลงทุนตลอดจนการดำเนินคดีแบบกลุ่ม (Class action) อีกด้วย สำนักงาน ก.ล.ต. ในฐานะหน่วยงานกำกับดูแลและพัฒนาตลาด