for the custody of client’s assets. In this matter, the securities company must strictly supervise the implementation of such guidelines. The rules or guidelines under the first paragraph must include

Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short-term investment shall not be made

private fund; “Provident fund” means any provident fund under the laws on provident funds; “Open-end fund” means any mutual fund which accepts the redemption of its investment units; “Management company

DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning

Memorandum of Undertstanding on Streamlined Authorization Framework for Cross-border Public Offers of ASEAN Collective Investment Schemes and being empowered to supervise the collective investment scheme or

additional facts and the SEC Office has notified the derivatives business operator before the end of such thirty days period. Clause 4. The approval for appointment of an executive of a derivatives business

contact subject to the approval by the Office proceeding in accordance with the rule prescribed by the Office, and shall supervise such Category A investor contact to comply with the rule prescribed by the

Sales results of the foreign CIS units that have been offered in Thailand : Balance at the end of the previous calendar year on 31 December 20________ ……..…………………… units Subscription

accordance with the second paragraph shall be completed within three months from the end of each accounting period. For each financial year, such preparation shall be completed within twenty-one days from the

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