the matter of transparency, inspection, check and balance and efficiency of the corporate governance. In this regard, the Company shall describe the following matters: 7.2.1 The composition of the Board
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
-trade information) อย่างเพียงพอ รวดเร็ว และเหมาะสม (transparency) (4) ระบบบันทึกข้อมูลเกี่ยวกับการซื้อขายสินทรัพย์ดิจิทัล โดยเฉพาะข้อมูลที่เกี่ยวกับการทำรายการซื้อขายสินทรัพย์ดิจิทัล เพื่อติดตามและตรวจสอบ
. In this regard, the securities company shall set out rules on seeking and granting of approval in writing. Clause 15 In cases where a securities company finds that an investor contact may violate or
specified by the SEC Office’s Notification, which the intermediary shall fulfill before entering into the transaction for the purpose of transparency or fairness to the client . Clause 23 When an intermediary
Operational Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well
(if any), as specified by the SEC Office’s Notification, which the intermediary shall fulfill before entering into the transaction for the purpose of transparency or fairness to the client . Clause 23
least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear scope of work
is transparency and due process, prior to notifying suspension or revocation order or period for removing a person from the position as a result of possessing prohibited characteristics in Group 3