) the nature of unlawful act is a violation or non-compliance of provision of law, regulation, order or condition, in materiality or a breach of fiduciary duty or a violation or non-compliance of
organizational structure comprises three tiers of authority, namely: 1. The SEC Board responsible for policy-level regulations and oversight of market development; 2. The Capital Market Supervisory Board
transactions showing the issuer's relation with other persons who may have a conflict of interest, measures to prevent such conflicts and oversight of improper transfer of benefits, and (4) the management's
and oversight that suitably apply to licensed corporations of different risk levels as well as diverse natures of business operation, organizational structure, business size, and complexity of the used
29/2540 Re: Rules, Conditions and Procedures for Securities Borrowing and Lending By virtue of Section 14 of the Securities and Exchange Act, B.E. 2535 (1992) and Clause 5 of the Ministerial Regulation
Procedures for Securities Borrowing and Lending By virtue of Section 14 of the Securities and Exchange Act, B.E. 2535 (1992) and Clause 5 of the Ministerial Regulation No. 9 (B.E. 2540) issued under the
Ministerial Regulation No. 9 (B.E. 2540) issued under the Securities and Exchange Act, B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this
regulations and an internal control report (if any); (7) a copy of letter approving the increase of its capital, issued by a Compliance Unit having a duty in compliance with the regulations (in the case where
shall prevent loss, damage, theft or compromising of equipment assets, and interruption to the organization’s operation. Clause 20 An intermediary shall implement access control of information and
, damage, theft or compromising of equipment assets, and interruption to the organization’s operation. 9 Clause 20 An intermediary shall implement access control of information and information systems in