have, or are, developing Stewardship Codes or the equivalent. ‘Stewardship’ is not a term used in this document because it is less well understood in some parts of the world; nonetheless, the discussion

confirmed the clients' trading orders via telephone, as she understood that these could have been evidence of the clients' trading orders. However, {A} failed to record her accepting of security trading

the SEC Office according to the methods and procedures prescribed in the Licensing Manual for the Public. We have studied, acknowledged and understood the Personal Data Protection Policy for internal

B.E. 2562 (2019). In this regard, we have studied, acknowledged and understood the SEC Office’s Personal 2 Data Protection Policy for internal administration available at the SEC Office’s website as

B.E. 2562 (2019). In this regard, we have studied, acknowledged and understood the SEC Office’s Personal phanchul Typewriter [Input date] phanchul Typewriter [Fill in ALL latest applicant's profiles

the SEC Office according to the methods and procedures prescribed in the Licensing Manual for the Public. We have studied, acknowledged and understood the Personal Data Protection Policy for internal

ไดรบัอนุญาต ตองจัดใหมีการเปดเผยขอมูลเพื่อเปรียบเทียบคาความผันผวนแฝง (implied volatility) กับคาความผันผวนในอดีต (historical volatility) บน website ของผูออก DW โดยเปนการเปดเผย อยางตอเนื่อง

prospectus; - continuing disclosure of the implied volatility in comparison to the historical volatility on the website of the DW issuer;  - disclosure of a warning statement regarding the gearing ratio, a

เพิ่มเติม เพื่อใหตลาดซื้อขาย DW มีประสิทธิภาพยิ่งขึ้น (market efficient) กลาวคือ จากการศึกษาขอมูลพบวา ในทางปฏิบัติที่ผานมา ผูออก DW บางราย มีการกําหนดราคา DW โดยคิดคา Implied Volatility2 ไวคอนข

Transactions Act B.E. 2544 (2001), etc.; and 8. The Applicant has studied, acknowledged and understood the Personal Data Protection Policy for internal administration (as disclosed on the SEC Office’s website