well as maintaining the integrity of the capital market and the derivatives trading system as a whole. Clause 3 In setting the organizational structure, operating system and operational control under
Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities
capital market. Clause 4 The procedure for operation and the internal control system of the securities trading center under Clause 2(4) (c) shall be in compliance with the following rules: (1) having a
. monitoring · Monitoring the importance operation system effectiveness to consistently and efficiently functions such as transmission system for securities trading, connection between company and Securities
regulations. Clause 5 An approved person for the operation under a regulatory sandbox in the same manner as a derivatives exchange shall arrange an efficient and fair trading system which shall additionally
proprietary trading under Clause 12(8) of the Notification on Standard Conduct of Business : (1) risk management system; (2) investment control system; (3) system for preventing access to inside information
Period of Retention Application Logs User IDs, IP Addresses, Dates and Times. In case of the securities trading system, the details shall include: Securities Symbol, Broker Numbers (4-digit), SET Order IDs
------------------------------------------------------ กรณีที่เป็นระบบสารสนเทศเพื่อการซื้อขายหลักทรัพย์ (trading system) ให้เพิ่มรายละเอียดชื่อย่อหลักทรัพย์ (securities symbol) / หมายเลขบริษัทสมาชิก (broker No. 4 หลัก : xxxx) / เลขที่คำสั่งซื้อขายหลักทรัพย์
derivatives agent” means the person who contacts, solicits or gives advices regarding trading in derivatives or analysis of value or properness of trading in derivatives products or underlying products for
contact ” means a person who performs duties in contacting, soliciting, giving advice or planning with respect to trading or investment in derivatives for investors. There are two categories of investor