. Provisions in the Notification No. Sor Thor. 37/2559 Clause 18 An intermediary shall establish physical and environmental security measures to protect IT assets in accordance with the following criteria: (1
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
in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom. "securities dealing" means a purchase, sale or
total revenue from the other clients thereof. 7. Safeguards against independence impairment of the partners in the Audit Firm Please explain the safeguard against independence impairment of the partners
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
issues which many arise from the enforcement of this Act. SECTION 10. In cases where it is necessary to maintain economic stability or protect the public interest or investors, the SEC shall have the power
) derivatives trading by the client has or may have an impact on the orderly trading of the derivatives exchange, or has caused or may cause the trading price to deviate from normal market conditions; (b) the
or documents given by a client, the intermediary shall review and update such information without delay by taking the following actions: (a) gather and recheck information in addition to the normal
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
Company or a subsidiary materially but the assessment whereof cannot be quantified in numbers, and (3) any lawsuit that is not caused by normal business undertaking of the Company or a subsidiary