The Derivatives Act The Derivatives Act B.E. 2546 SECTION 31. The provisions of this Division shall apply to derivatives agent licensed under Section 16. The SEC may, if appropriate, promulgate the

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate

the responsible person of such scheme. “ credit rating ” means the credit rating by a credit rating agency accepted by the SEC Office which estimates the capability to make repayment under instruments

Agreements with Clients prior to Providing Services ______________________ Division 1 General Provisions _______________________ Clause 10 In cases where an intermediary is required to make an agreement with a

the Notification of the Office of the Securities and Exchange Commission concerning Additional Rules for Mutual Fund Investing in Derivatives and Credit Linked Notes; (c) investment units of a mutual

by the definition of “control” under Section 89/1 of the Securities and Exchange Act B.E. 2535 (1992) . “ financial business ” means commercial bank, finance company, credit foncier, securities company

securities brokerage or securities dealing, as follows: (a) a commercial bank; (b) a finance company; (c) a securities company ; (d) a credit foncier company; (e) an insurance company; (f) a juristic person

market business shall be persons who do not possess the prohibited characteristics as specified in Chapter 7. Chapter 4 Application for Approval and Granting of Approval Division 1 Application for Approval

other law from such acceptance of selling orders or closing out of positions. Chapter 3 Engagement in Agreements with Clients prior to Providing Services ________________________ Division 1 General

securities dealing: (1) commercial banks; (2) financial companies; (3) securities companies; (4) credit foncier companies; (5) insurance companies; (6) juristic person established under the specific law other