approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital
disputes incidental to or resulted from the derivatives business. Such written agreement shall be made at the first opportunity possible but shall not exceed one year as from the date this Notification
, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5
interest for such client ; (b) being able to exhaustively prevent illicit exploitation of information or opportunity as a result of the intermediary ’s services; (c) separating units and personnel of such
company (Chinese wall). There shall be at least measures for prevention of inside information leaking between work units and personnel who have an opportunity to access inside information of a securities
matters should include a comprehensive flowchart of the overall business structure of the majority shareholder. Also required is information on the rationale and opportunity or necessity for mutual reliance
the said matters should include a comprehensive flowchart of the overall business structure of the major shareholder. Also required is the information on the rationale and opportunity or necessity for
prudence and fairness to unitholders. Mutual fund management company shall sell investment units which obtained as specified in clause 8(3) at the first opportunity in consideration of the benefit of other
การดำเนินคดี หรือซ่อมแซมเพื่อคืนสภาพเดิมก่อนที่จะเกิดหตุการณ์ความเสียหาย 3) opportunity loss – ความเสียหายในเชิงโอกาสของการประกอบธุรกิจอันเนื่องมาจากเหตุการณ์ความเสียหาย เช่น ระบบคอมพิวเตอร์ล่มเป็นผลให้
issued shares due to a significant suspicious ground regarding management mechanism in any of the following manners: 1. having a possibility to be unable to treat shareholders fairly by giving benefits to