position, or is in the line of work, responsible for or capable of accessing inside information; (3) any person who is able to know inside information by performing duties as auditor, financial advisor
of whatever name excluding bills, divided into units, each with equal value and a predetermined rate of return, issued by any company to a lender or purchaser, representing the right of the holder of
instruments as specified by the SEC. "bill" means any bill issued for raising funds from the public as specified in the notification of the SEC. "debenture" means any debt instrument of whatever name excluding
derivatives clearing house. “securities” means securities under the Securities and Exchange Act. “Stock Exchange” means the Stock Exchange of Thailand under the Securities and Exchange Act. “securities trading
provision: “(5) borrowing in the name of the mutual fund or creating any encumbrances on the assets of the mutual fund, except entering into derivative or engaging in the transaction in accordance with the
, which are capable of protecting the computer system and computer data as well as the management of risks associated with crime or other causes; (4) appropriate accounting systems for the business and
) sufficient financial resources for the conduct of and risks associated with its operations; (2) safety of its clients’ assets; (3) security measures against electronic crime, which are capable of protecting
conduct the purchase or sale of listed securities outside the Securities Exchange, regardless of whether it is acting as a broker, agent or in its own name, unless such member obtains a permission from the
remuneration by any methods, and called by any name, but excluding the overtime payment, the payment for work on holidays, and money or other benefits withheld or additionally paid by the employer to the