The Derivatives Act The Derivatives Act B.E. 2546 SECTION 30. The auditor under Section 28 shall be a certified public auditor approved by the SEC Office and shall not be a shareholder, a beneficial
customer, derivatives broker shall inform and get the customer’s consent in written. (6) In cases where derivatives broker giving advice related to derivatives contract, derivatives broker shall give
opening accounts or engaging in business relationships with a securities company, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a
) “ major shareholder ” means any shareholder or beneficial owner of shares holding more than 10% of the total number of the applicant’s voting rights shares; For the purpose of the first paragraph, a
precious metal in Thailand; (3) “ major shareholder ” means any shareholder or beneficial owner of shares holding more than 10% of the total number of the applicant’s voting rights shares; For the purpose of
” means any person undertaking business relating to buying or selling gold in Thailand. (3) “Major shareholder” means any holder or beneficial owner of shares in the amount exceeding ten percent of the
Conflicts of Interest in Which an Intermediary Is Allowed to Get Involved _____________________________ Clause 22 In case an intermediary has a reasonable ground to enter into a transaction being conflicts of
shareholder or a beneficial owner of more than ten percent of the total voting rights of the applicant. For the interest of the provision under Paragraph 1, a “ beneficial owner ” means the beneficial owner of
beneficial facts or evidence in the trial of the case or the proceedings, or concealing or destroying the evidence of the case or giving false statements, etc.; Clause 4. A person having the prohibited
persons who demand information to get a convenient access without requirement for member subscription; and (c) giving advice without any core objectives of providing advisory services to other persons