, there shall be explained the procedure and measure on price risk management of investment, derivatives and products or underlying issues such as position limit, pricing model, method and frequency in the
Section 19(3) of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No.4) B.E. 2535 (1992) which contains certain provisions on restriction of rights and
derivatives without investment limit. Nonetheless, asset management companies are required to put in place a proper risk management system for risks associated with derivatives investment and clearly disclose
provisions relating to the restriction of rights and liberties of persons, which Section 29 in conjunction with Section 33, Section 34, Section 41, Section 43, Section 44 and Section 64 of the Constitution of
may not be able to execute some types of orders, such as ‘stop-loss’ or ‘stop-limit’ orders, placed by the Client to limit his/her losses, since market conditions at the time the order is placed may
prescribed. The proposal includes rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to
. Reviewed by taking into account comments and recommendations of the business operators received from the previous public hearing, the draft rules include rectification period, restriction of business
restriction in case where the asset management companies are unable to maintain adequate capital. As the asset management companies have been allowed to apply for undertaking of business as a trustee, the
revise the rules to allow a person or a group of persons to hold investment units of any retail fund not exceeding one-third of the total units sold.In case of exceeding the unit holding limit as specified
control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code