accessing or amending information; (d) non-public information protection system between the agent and its personnel; (e) supervisory system for making personnel to complete their functions in accordance with
accessing or amending information; (d) non-public information protection system between the agent and its personnel; (e) supervisory system for making personnel to complete their functions in accordance with
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
the following matters: (2) the measures on the use of cloud computing under the policy established in Clause 8(1) which covers: (a) an agreement between the cloud provider and the intermediary which
Exchange Act, B.E. 2535". SECTION 2. This Act shall come into force after sixty days from the date of its publication in the Government Gazette, except Section 4, Section 7 to Section 16, Section 17 to
People’s Republic of China (“Hong Kong”) and the Government of the Kingdom of Thailand concerning Strengthening Economic Relation between Hong Kong and Thailand, signed on 29 November 2019. In this
to make payment to the other party, or vice versa , in the amount which is equivalent to the difference between the price or value of goods or variable specified in the contract and the price or value
of the Securities and Exchange Commission No. Sor Thor. 15/2558 Re: Rules in Detail related to Proprietary Trading of Intermediaries ___________________ By virtue of Section 98(7)(b) of the Securities
in accordance with laws, regulations, codes of conduct and relevant professional standards; (7) conflicts of interest An intermediary shall manage conflicts of interest fairly, both between itself or
2. In case the value of investment units of a closed-end fund is incorrect and such value has been announced, provided that the difference between the incorrect unit value and the correct unit value