the day before or of 1 hour before the occurrence of emergency incidents, as the case may be. In addition, there should be provided an approach on provision or preparation of substitute data in
securities business is lost or destroyed, the association related to securities business may submit an application for a substitute of the license. Clause 6 A license for establishment shall take effect on its
replacement of mobile devices. Additional Guidelines 1. In the operation with the use of mobile devices to access the organization’s internal operating system, excluding the mail service system, the
and communication technology infrastructure; (h) alternative energy; (i) water management system or irrigation; (j) natural disaster preventive system, including the warning and management systems to
impact on the clearing system. Please be informed that the SEC Office has now completed the One-For-All- Reporting System (OFAR) as a new channel for submitting the daily status report in replacement of
fund of which the returns calculation is made in a complicated way (complex return fund); (d) investment units of a mutual fund of which the fund's net exposure in commodities is made through its
overall capital market because there are few service providers or a replacement of another service provider cannot be arranged immediately; “ affiliated company ” means a company having any of the following
is to determine the maximum amount of damages claimed in order to ensure that the arbitration serves as an alternative dispute resolution for individual investors in accordance with the purpose of the
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
.; (b) the complicated nature of the action or the tools using for such action such as using a disguised name of other person or establishing a company for concealment; (c) the record of behaviour of