UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...
system for enhancing and protecting the orderly operating mechanism of the trading system; (f) having a controlling mechanism to ensure that the service user who offers to buy or buy securities in the
Dispute Resolution and Enforcement Mechanism (“DREM”) (7) เป็นโครงการจัดการลงทุนต่างประเทศที่ระบุเกี่ยวกับการเปิดเผยข้อมูลที่ มีสาระสำคัญอย่างน้อยเช่นเดียวกับข้อมูลที่กองทุนรวมตามประกาศเกี่ยวกับการจัดตั้ง
the organizational management diagram, from the Board of Directors, subcommittees and the management to various departments including the work unit being the corporate governance mechanism, for example
related to execution of trading transactions, to monitor and examine post-trading activities (audit trail); (5) having a work system for enhancing and protecting the orderly operating mechanism of the
is the contracting party to set up a mechanism for the management company or its delegate to examine or verify the correctness of the portion of income the fund received under the agreement and to
assuming responsibility for management decisions for audit client; · operate an enforcement mechanism to promote compliance with the policies and procedures; · empower staff to communicate concerns to senior
, as the case may be. Clause 41/4 In providing portfolio advisory or investment strategy of program trading to clients, an intermediary shall arrange a mechanism or procedure for determining its
mechanism or measure which render the securities underwriter to perform duties independently: (1) in case the securities underwriter, or parent company or subsidiary company of the underwriter is the sponsor
Reductions (CERs)” หมายความว่า หน่วยของปริมาณการลดก๊าซเรือนกระจกที่คำนวณในรูปของคาร์บอนไดออกไซด์ที่ผลิตขึ้นภายใต้โครงการกลไกการพัฒนาที่สะอาด (Clean Development Mechanism (CDM)) และได้รับการรับรองจากคณะกรรมการ