disruption of critical function occurs, intermediaries shall report to the SEC the cause leading to such disruption together with relevant details at the earliest time but no later than the next business day
undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Office of the Securities and
UNOFFICIAL TRANSLATION Codified up to No. 6 As of 24 April 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 4
) should contain the subject matters prescribed in Clause 1, Chapter 2 of the additional practice guidelines relating to the information security policies and measures at a minimum; 4. The intermediary
document which contain substances similar to a summarized substance of instrument that appears in the registration statement in the form of printed documents and CD along with the distribution of securities
Exchange Act B.E. 2535 (1992) which contain certain provisions in relation to the restriction of rights and liberties of persons which Section 29, in conjunction with Section 33, Section 34, Section 41
. - There should be a system to access the Mutual und Approving System. Private Funds - The private fund management contract should at least contain the following matters: (1) Right, duties, and
Exchange Act (No. 4) B.E. 2551 (2008) and Section 114, Section 115 and Section 116 of the Securities and Exchange Act B.E.2535 (1992), which contain certain provisions in relation to the restriction of
Capital of Person Granted a License to be Derivatives Broker _____________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the
of electricity or communication in many areas, by allowing every units to participate in arranging the BCP for their own critical business functions. The BCP shall contain, at least, the following