against unauthorized disclosure, modification, removal or destruction of sensitive information stored on media. Clause 18 An intermediary shall establish physical and environmental security measures to
disclosure, modification, removal or destruction of sensitive information stored on media. Provisions in the Notification No. Sor Thor. 37/2559 Clause 17 Information shall be classified in terms of sensitivity
, the Ministry of Commerce; (3) the updated regulations of the founding securities companies certified by the Office of Partnership Registration, the Ministry of Commerce. Clause 2 Any trade association
(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...
: ประกาศ COI และประกาศเกี่ยวกับการลงทุน เพื่อเป็นทรัพย์สินของผู้ประกอบธุรกิจ: ประกาศ Prop Trade ) ซึ่งได้มีการพิจารณาปรับปรุงแก้ไข ร่างประกาศในประเด็นอื่น ๆ เพิ่มเติมเพื่อให้มีความเหมาะสมยิ่งขึ้นด้วย
result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity; (c) being the manner of inappropriate investment as a professional; (d) bringing
counter party in a derivatives contract with any person who intends to trade in derivatives, by entering or offering to enter into such contract, and has been licensed or registered under this Act
period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are
proprietary trading which would be able to prevent the following occurrences: (a) negative result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity
written by such board of directors. In case of any material amendment, change or modification to such policy and plan, intermediaries shall comply with the requirement set out in the first paragraph (1) or