undertake the actions within the period specified in the previous paragraph, the new trustee shall file a motion with the court to issue an order to declare that the new trustee has been fully vested with the

party has doubts relating to the statement in the dispute resolution, such party may file, through the Office, a motion requesting the arbitrator to interpret such statement within thirty days from the

such action with a view to preventing other creditors of the customer from receiving repayment of indebtedness, either in whole or in part, or that the derivatives business operator has failed to comply

comprehensively study the contract specification, i.e. category or type of underlying assets or variables, contract size/unit/multiplier, minimum price movement, daily price limit, last trading day, settlement day

(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...

information security incident management without delay; (3) put in place a disciplinary process to take action against any employee who has committed an IT security breach. Additional Guidelines 1. The examples

indicate that the system of quality control is insufficient. 2) Systemic, repetitive or other significant deficiencies that require prompt corrective action 2 Does the firm communicate (Audit Compliance

rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action

management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or

operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities