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

allocation shall come into force as from 1 April 2016. Chapter1 General Provisions _____________________________ Division 1 Regulatory Purpose _____________________________ Clause 2 Due to the undertaking of

user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other financial

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Division 1 Client Contact, Solicitation, or Giving Advice and Professional Conduct _____________________ Clause 13 Repealed.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

management” means a deputy manager, an assistant manager, a division director, a branch manager, and any persons holding equivalent position called otherwise and such person shall be responsible for services

information e.g. prescription of the area for concerned personal 1.1.3 Supervision of the Line of Operation (1) Having a system for cross checking of the operation between personal in the related division