entitled to control the voting rights in cross border situations and where necessary to simplify the depository chain. Moreover, notice periods should ensure that foreign investors in effect have the same
, with focus on related party transactions, disclosure of beneficial ownership and control; Organising the structure of enforcement authorities to allow effective and coherent action of the agencies
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
cross-border activity in asset management and the offering and distribution of collective investment schemes. Its purpose is to enhance cooperation in relation to (i) collective investment schemes
............................................................ B. Engagement Level ............................................... Root cause analysis and examples of action plans to improve the quality control system .................. Our Focus for the Third
year. Clause 6 The securities clearing house shall apply effective measures and methods for monitoring and control of outstanding clearing and settlement of securities and risk incurred by each member to
control of outstanding derivatives positions of members and risk incurred by each member to the clearing system. Clause 7 Where the derivatives clearing house requires the members to place margin or assets
acceptable international standards among different capital markets is considered the driving force to stimulate cross-border investments, and thus propelling such integration and linkages forward. Being
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
Securities and Exchange Commission No. SorThor. 8/2548 Re: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the