proceed in accordance with Clause 4(2). Clause 6 In proceeding with the actions as prescribed in Clause 4 and Clause 5, the Legal Execution Department and the SEC Office may jointly issue guidelines in

Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and

derivatives broker shall provide evidence relating to derivatives trading as follows: (1) evidence relating to the taking and execution of customer’s derivatives trading order containing at least the details of

Establishment of Mutual Funds and Execution of Agreements for Private Fund Management ; (7) “ major shareholder ” means a person directly or indirectly holds shares of a juristic person exceeding 10% of the total

Execution of Agreements for Private Fund Management ; (7) “ major shareholder ” means a person directly or indirectly holds shares of a juristic person exceeding 10% of the total number of voting rights of

Nor. 22/2552 Re: Establishment of Mutual Fund and Execution of Agreement for Management of Private Fund dated 28 July 2009; “ provident fund ” means a provident fund under the law governing provident

execution. Clause 8. Securities company shall provide evidence and document about securities trade completely and up date, and keep it for at least five years as from the trading date, of which evidence and

Gazette, General Issue, Volume 119, Special Section 32 Ngor, dated 4 April 2002.

, securities business, the Securities Exchange, over-the-counter centres, and related businesses, organizations related to securities business, issue or offer of securities for sale to the public, acquisition of

has a material issue on violation of laws or regulations in the environmental area, or is under the accusation of causing a negative impact on the environmental issue, especially the issue appearing in