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
(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...
(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 both Houses of Parliam...
operation of securities exchange including rules relating to financial resources, systems, supervision of members, listed securities, corporate governance, prevention of conflicts of interest, dispute
/1 Governance of Publicly Traded Company – Section 89/1 to Section 89/32 of the Securities and Exchange Act B.E. 2535: “CHAPTER 3/1 GOVERNANCE OF PUBLICLY TRADED COMPANY SECTION 89/1 In this Chapter
, 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
been given by the SEC. 19 SECTION 60. At least two fifth of the board of directors of the derivatives exchange shall be persons capable of protecting the interest of members, investors or stakeholders of
been given by the SEC. 19 SECTION 60. At least two fifth of the board of directors of the derivatives exchange shall be persons capable of protecting the interest of members, investors or stakeholders of
governance of listed securities issuers; (5) measures to prevent and resolve conflicts of interest; and (6) efficient and fair arrangement for the handling of complaints or disputes. In the case where the SEC