the following matters: (1) sufficient financial resources for the conduct of and risks associated with its operations; (2) safety of its clients’ assets; (3) security measures against electronic crime
) sufficient financial resources for the conduct of and risks associated with its operations; (2) safety of its clients’ assets; (3) security measures against electronic crime, which are capable of protecting
competitiveness of the SET • More chance for members of the SET to purchase or sell of listed securities outside the SET • Fair competition among depository centers where scripless system can be used for all types
particulars of digital tokens shall: (1) purchase or sell digital tokens or enter into a https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-digital.docx Microsoft Word - SEA-ÃÒ©ºÑº 6-3-51
mutual fund; (7) certificates representing the rights to purchase shares; (8) certificates representing the rights to purchase debentures; (9) certificates representing the rights to purchase investment
) certificates representing the rights to purchase shares; (8) certificates representing the rights to purchase debentures; (9) certificates representing the rights to purchase investment units; (10) any other
, certificates representing the rights to purchase shares, certificates representing the rights to purchase debentures, and other securities as specified by the SEC, unless such offering: (1) falls within Section
purchase or sell a securities with a [concurrent] agreement to sell back or buy back such securities; (3) any contract or trade as specified in the notification of the SEC. SECTION 5. Any derivatives
person other than a securities company which is a member of the Securities Exchange is allowed to conduct the purchase or sale of a particular type of listed securities on the Securities Exchange.” SECTION