securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
significant case effect to the security of the information technology [M] · proving a method or compliance guideline support to compliance with the prescribed policy [M] · determining clearly duties and
the Law on Securities and Exchange. “ goods ” means securities , gold , crude oil and other goods as prescribed under the Notification of the Securities and Exchange Commission Re: Determining
use valuation method and shall be granted exemption as follows: (1) in determining the fair value of equity instruments issued by PTT Public Company Limited for calculating the net asset value of mutual
Agriculture and Agricultural Cooperatives ; (4) savings deposit lottery issued under the Law governing the Government Savings Bank. Clause 4 An institutional investor shall refer to any of the following
management that should be applied by each intermediary and for determining a clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the
) determining an operational procedure for preventing conflicts of interest or access to inside information between work units and personnel of the intermediary; (2) supervising relevant personnel to comply with
has consented; (3) Clearly determining the customer’s rights particularly the right to receive information with respect to derivatives fund management; (4) Having necessary information and warnings
system shall be in accordance with the following rules: (1) determining the objective of internal control in line with the purpose and mission of the company; (2) having internal control system which is
paragraph to the client or the provident fund committee and the reasons for choosing such connected person as custodian. Clause 13/1 3 Determining the investment policy of a private fund for investment in the