must be clearly specified in order to avoid any doubt whether internal information is used to the benefit of the executives. The program must be administered by an intermediary, such as a securities
same year in 2022.” Hosting the IOSCO Annual Meeting will bring about multifold benefits to the capital market and Thailand. For example, the SEC will have another forum to demonstrate its capacity
that may fall under the category of investment company, and to ensure that their operation does not demonstrate the objective of seeking investment returns for investors in a similar manner to operating
) being capable of maintaining capital and reserve under relevant supervisory law; (3) demonstrate efficient systems to prevent conflict of interest, Chinese wall among different departments and staffs
law ; (2) being capable of maintaining capital and reserve under relevant supervisory law; (3) demonstrate efficient systems to prevent conflict of interest, Chinese wall among different departments and
used, and approvals of sale transactions; No examination of appropriate cut-off documents, i.e., documents that demonstrate the transfers of risks and rewards from sellers to buyers, when testing the
, this process could be improved further with adequate consultations and proper documentation of judgments to demonstrate clearly that before providing such services, the firms had considered all relevant
demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets
the business of the other party but not in the manner under (1), the party that manages fund shall submit documentary evidence to the Office to demonstrate that: (a) One party has the power to control