established in accordance with the following rules: (1) arrange the structure of the company in an orderly systematic way, according to duties, with a view to: (a) prevent dishonest acts of its personnel; (b
organisational structure of the company shall be established in accordance with the following rules: (1) arrange the structure of the company in an orderly systematic way, according to duties, with a view to: (a
outstanding buy orders and sell orders for a specific security or financial instrument, organized by price level. • Derivative warrants (DW): proprietary instruments issued by eligible issuers that give holders
accordance with the 2 following principles: (1) good governance and clear, transparent organizational structure; (2) effective risk management for legal, credit, liquidity, operation, and other risks, with
, as the case may be; 2 (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of
processes, control and systematic risk management in synchronization with related international standards such as ISO 27001 and ISO 31000, in accordance with the Bank of Thailand’s policies and best practices
fair and orderly markets, ensure regulatory convergence with international standards and improve efficiency of information disclosure of securities issuers in compliance with good corporate governance
) having a clear exit strategy in case of leaving the regulatory sandbox upon or before expiration. (5) specifying a limited scope of services to alleviate material impacts or damage on investors or the
benefits of the capital market. Expectations include: Provide opportunities for businesses to operate independently with an effective supervision system in place to ensure an orderly market; Be
following matters: (1) good governance and clear, transparent organization structure; (2) effective risk management for legal, credit, liquidity, operation, and other risks, with measures to appropriately