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
. Chapter1 General Provisions _____________________________ Division 1 Regulatory purpose _____________________________ Clause 2 Due to the undertaking of an intermediary as capital market servicer renders
. ---------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 1/2548 Re: Rules for the Exercise of Fund’s Voting Rights at the
allocation shall come into force as from 1 April 2016. Chapter1 General Provisions _____________________________ Division 1 Regulatory Purpose _____________________________ Clause 2 Due to the undertaking of
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
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 Clause 15 The
internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the division and personnel
Office. Chapter 3 Operation ____________ Division 1 Client Contact, Solicitation, or Giving Advice and Professional Conduct _____________________ Clause 13 Repealed. Clause 13/1 The derivatives broker
Clause 2 have details as provided in appendix at the end of this Notification of Practice Guidelines, whereby such details are as the following matters: (1) Division 1 Objectives of practice guidelines for