information related to trading which shall cover at least the following matters: (a) procedure and method for providing clear and fair access for service users. In this regard, the aforesaid undertaking may be
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Sec...
estimated, and not guaranteed, for the ………… period ending as of …………….”; (2) specify clear and easy-to-understand information related to a sensitivity analysis that has been audited by an auditor or a
acknowledgement to create awareness of the IT security in the use of the cloud computing; (7) define clear roles and responsibilities of the cloud provider such as the data backup, the helpdesk services, the
Summary of Class Action under the Civil Procedure Code Tanaporn Farungsang Litigation Department The Securities and Exchange Commission, Thailand (SEC) Definition Class action is a type of civil
Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedure for the Establishment and Management of Funds dated 10 June 2004, the Office of the Securities and Exchange Commission hereby issues the
Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedure for the Establishment and Management of Funds dated 10 June 2004, the Office of the Securities and
potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a license
: Administrative Procedure under the Derivatives Act B.E. 2546 and the Trust for Transactions in the Capital Market B.E. 2550 (As Amended) By virtue of the Section 9(1), Section 121, Section 122 and Section 124 of