. Provisions in the Notification No. Sor Thor. 37/2559 Clause 18 An intermediary shall establish physical and environmental security measures to protect IT assets in accordance with the following criteria: (1
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
total revenue from the other clients thereof. 7. Safeguards against independence impairment of the partners in the Audit Firm Please explain the safeguard against independence impairment of the partners
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
enables the investors to understand the differences among various types of investment. Clause 14. The advertisement related to ranking or awards received by the securities company or the fund shall comply
comparison or the difference between return from investment in the fund and other investments shall incorporate material information which enables the investors to understand the differences among various
authorize an agent or any other person to perform a specified act. SECTION 24/1.4 To protect the public interest or investors, the SEC Office or the person designated in writing by the SEC Office shall have
analyze the investment in securities and Category B Investor Contact who is not authorized to analyze the investment in securities; “analysis of investment in securities” means an analysis of various data
according to the guidelines under (1) as well. If the holding company operates business of various types with a central company performing the role of managing subsidiaries or associated companies in each
(user ID) และรหัสผ่าน (password) รวมทั้งข้อมูลส่วนบุคคลที่อาจนำมาใช้เพื่อขอเปลี่ยนแปลงข้อมูลบัญชีการใช้งานระบบได้ (accountable for safeguard) 5.4 การควบคุมการเข้าถึงระบบสารสนเทศและโปรแกรมประยุกต์ (system