Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By
information related to clients that should not be disclosed and has become known by an intermediary through its operation of securities business or derivatives business; “ investment ” means an acquisition
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________
, or a trustee temporarily suspended from undertaking of trust business or whose approval to undertake trust business revoked or prohibited to engage in a trust instrument. SECTION 17 No provision in a
advisors on dispute resolution by an arbitrator on the SEC Office’s list, shall come into force as from 1 January 2016; (2) Clause 17, which is related to arrangement of agreement with clients on provision
on dispute resolution by an arbitrator on the SEC Office’s list shall come into force as from 1 January 2016; (2) Clause 17, which relates to arrangement of agreement with clients on provision of
, Section 36, Section 41, Section 43, Section 44, Section 45 and Section 64 of the Constitution of the Kingdom of Thailand so permit by virtue of law, as well as Clause 16(6) of the Ministerial Regulation
, as well as to supervise, matters concerning securities, securities businesses, the Securities Exchange, over-the-counter centers, and related businesses, organizations related to securities business
DERIVATIVES TRADING SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning derivatives (contract), derivatives business
software; (2) preventive and detective controls of the use of unauthorized software and known or suspected malicious websites; (3) installation and regular update of malware detection software, as well as