Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office

ล่วงหน้า ไม่ดำเนินการล้างฐานะสัญญาซื้อขายล่วงหน้า (close out position / force close) ในวันที่ 19 ธันวาคม 2549 จนทำให้ลูกค้าบางรายได้รับความเสียหายและอาจนำไปสู่ข้อร้องเรียนได้ นั้น สำนักงานขอเรียนว่า

documents of the fund applying for approval of establishment shall contain the stipulations indicating the features of the fund as follows: (1) being a close-ended fund except when the redemption is clearly

where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an effective operating system to protect such investment or entry into a

(approximate) Spending Duration (approximate) Details/Spending Progress/ Reason(s) and Measure(s) in Case of Failure to Comply with the Spending Objectives 1. To acquire assets or invest in a business related to

Exchange Act (No.3) B.E. 2546) “private fund management” means the management of funds of a person or group of persons who has authorized the management of investment to acquire benefit from securities

. If the investor is unable to do so, the derivatives broker will close out the derivatives position of the investor. However the investor will still be responsible for any loss that may arise from such

where securities are being traded for clients. Clause 8 In the case where a securities intermediary invests in shares to acquire proprietary assets in accordance with the rules prescribed in the

” means any person who is authorized by the derivatives fund manager to make an investment decision to acquire benefits from derivatives for others; “Association” means any derivatives fund management

shall not apply to the securities company’s branch office in foreign countries. Clause 3. The securities company shall open within the hours, and close on the days as follows: (1) in case of providing