action as the SEC Office deems appropriate. If any event under the first paragraph occurs and there is an urgent need to protect or alleviate potential damage or if the derivatives business operator fails
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
whose approval to undertake trust business revoked by the SEC, the former trustee shall perform its duties only to protect the benefits or exercise the right over the trust property to prevent the trust
an operating system sufficiently and effectively in order to protect any acts according to paragraph one which may create conflict of interest to the fund, provided that, in case of (1) shall apply as
client’s assets; □ (3.6) System to prevent conflict of interest and protect client’s confidential information; □ (3.7) System for selection of a custodian agent to ensure that the custodian agent has a
exercise precaution and refrain from using the organization’s information systems which may likely damage the intermediary or the capital market or have an impact on the national security, and that they are
) ensure that only copyrighted software and appropriate software patches are installed and establish measures for protection against malware intrusion or damage to confidential or critical data stored on
or Committee of the securities company, on the following issues: (1) the effective system of internal control and system to prevent conflict of interest; (2) risk management system to prevent damage
concerning Investment of Funds. Clause 8 To protect investors and fair treatment for their entitlement, and to ensure the uniformity of operating standards, the SEC Office shall have the power to issue rules