Exchange Commission No. Kor Thor. 4/2561 Re: Maintenance of Capital of Investment Advisors and Derivatives Advisors ________________________ By virtue of Section 14 of the Securities and Exchange Act B.E
DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for
the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal http://market.sec.or.th/public/idisc/en/Enforce Criminal Complaint Filed with an Inquiry
operate derivatives business. Later, the company took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal http://market.sec.or.th
://www.sec.or.th/EN/Documents/Auditor/documentation.doc Section 96 of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the
electronic filing system only. Then, print out the completed form, affix the authorized signature and submit the hardcopy to the SEC https://publish.sec.or.th/nrs/7210se.pdf Section 96 of the following manners