non-public information, operational rules for the prevention of the disclosure of confidential information should be prescribed. 4. Criteria for selection of personnel for each unit shall encompass the
Clause 2(2) must cover all critical functions which at minimum shall include the following components: (1) Operational procedures for maintaining or recovery of business operations which contain sufficient
distributed to Shareholders. As the outbreak of the Coronavirus Disease 2019 (“COVID-19”) in Thailand which is rapidly spread and could cover wider range. In this regard, the government has announced a state of
necessary. Clause 4. In addition to the material information of the contract that should be identified as agreed upon by counterparties, the securities registrar shall include the following contents in the
(explicit guarantee). In case of financial resources for covering liquidity risk, the assets under Paragraph 1 shall include credit facilities granted by a commercial bank. The derivatives clearing house
cover page. IV. MARKETS A. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on which the debt securities are listed and/or admitted to trading, or are
debt securities, highlight the riskiness of securities on the cover page. IV. MARKETS A. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on which the debt
irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of