client; (d) the information specified under (a), (b) and (c) of direct or indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding
derivatives trading; (c) [derivatives] trading information of the client and information on trading of the underlying asset by the client; (d) the information specified under (a), (b) and (c) of direct or
companies, both financial and non- financial. To the extent they are deemed applicable, they might also be a useful tool to improve corporate governance in companies whose shares are not publicly traded
increased direct oversight of auditors of listed companies, and local accounting standards are converging to International Financial Reporting Standards. The SEC and Bank of Thailand (BoT) are well resourced
direct connection to the undertaking of securities or derivatives business; “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company or
direct connection to the undertaking of securities or derivatives business; “intermediary” means a securities company or derivatives intermediary, excluding venture capital fund management company or inter
. Reformation and Legal Framework Extent of director liability index Thai law protects the right of minority investors to bring an action against any director who acts or omits to act in any way that constitutes
the issuer who is responsible for the information contained in the prospectus. B. Advisers and other parties 1. Provide the names and addresses of – (a) the issuer's principal bankers to the extent the