the following matters: (1) 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
) 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
the employee. In cases where no investment policy has been assigned by the employee, the previous investment policy or that associated with minimal risks shall apply, as the case may be. SECTION 17. The
any other person to take such acts on their behalf. SECTION 44.2 In managing asset deemed to be owned by customer under Section 43, the customers who are not associated with the derivatives business
any other person to take such acts on their behalf. SECTION 44 .2 In managing asset deemed to be owned by customer under Section 43, the customers who are not associated with the derivatives business
Securities Exchange shall undertake at least the following matters: (1) sufficient financial resources and systems for the performance of its operation and for the assumption of any risks associated with the
(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...