home regulator, as the case may be. Clause 8 Prior to selling units of foreign collective investment scheme, a securities company shall at least undertake the following steps: (1) sending or distributing
notified the securities company in writing, the securities company shall undertake any steps to relieve such executive from being the executive of the securities company within necessary and justified period
such position, and the Office has notified the securities company in writing, the securities company shall undertake any steps to relieve such executive from being the executive of the securities company
on listed companies’ disclosure of material information, issuing investor warning messages, and/or posting trading signs to alert investors. For next steps, the SET is in the process of revising the
Clause 9 and take steps in the matter shown under (a), (b), (c) and (d) of (1) at all time during which it undertakes derivatives business; (4) The licensee of derivatives business license type Sor-1 which
Trading Services with respect to Derivatives __________________ Clause 26 To ensure that steps or procedures concerning computer systems relating to trading services with respect to derivatives are