derivatives trading within the scope of investment pre-determined by their clients. In any case, provision of such additional services must comply with supervisory rules and investor protection guidelines. The
exchange. While the investment objective in relation to derivatives trading will no longer be limited, derivative brokers, in providing the service, will be required to comply with rules and practices
auditors.Earlier, auditors gave qualified opinions on the said companies? financial statements after concluded that those financial statements did not comply with the generally accepted accounting principles. The
to investors the information on such investment. Asset management companies must, additionally, comply with rules governing derivatives investment which include rules on counterparty limit, reserved
, dealers and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposed revision, IA, and LBDU operators will have to comply with the capital requirements variable to
of business contingency management, IT security, operational outsourcing and complaint handling. In addition, all but future exchange would be required to comply with new rules on organizational
provide more investment flexibility for business sectors and comply with international regulations by allowing REIT to give a similar kind of financial support to its subsidiaries as listed companies do to
offerors failed to comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 as they did not deliver the offer document (“Form
failed to comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 as they did not deliver the offer document (“Form 247-4