proprietary trading under Clause 12(8) of the Notification on Standard Conduct of Business : (1) risk management system; (2) investment control system; (3) system for preventing access to inside information
credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which the intermediary shall comply with. In this regard, the
or research paper published in a document provided and disseminated to the public as normal business undertaking; (2) an article or research paper whose content is an update of or an addition to
receipts which have such shares as underlying: (1) an article or research paper published in a document provided and disseminated to the public as normal business undertaking; (2) an article or research
year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk
an intermediary as capital market servicer renders credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
. ----------------------------- Notification of the Securities and Exchange Commission No. SorNor. 31/2547 Re: Appointing System of Custodian Agent By virtue of Section 4(3)(G) of the Notification of the Securities and Exchange Commission No
risks to be of significance, which are: accessing to the information and computer system by an unauthorised person, an authorised person is unable to access to the information in the computer system in
control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with