guidelines for the personnel of the intermediary; (2) establish a cross-check for operation of information security to prevent potential risks; (3) establish communication channels with the SEC Office, the
; (2) establish a cross-check for operation of information security to prevent potential risks; (3) establish communication channels with the SEC Office, the regulatory authority for information
Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and
Gazette, General Issue, Volume 119, Special Section 32 Ngor, dated 4 April 2002.
, securities business, the Securities Exchange, over-the-counter centres, and related businesses, organizations related to securities business, issue or offer of securities for sale to the public, acquisition of
has a material issue on violation of laws or regulations in the environmental area, or is under the accusation of causing a negative impact on the environmental issue, especially the issue appearing in
before its own interest where such trading or investment may constitute a conflict of interest with its client. Chapter 5 Communication with and Providing Services to a Client _____________________________
redemption under a firm quotation price or at a minimum price pre-determined on the issue date of such bonds by a securities company which has been appointed as the selling or redemption agent of such bonds
or payments in accordance with the regulations prescribed by the Bank of Thailand; (3) having sufficient networks and channels for providing services or communication which is able to reach a wide