The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
__________________________ Clause 9 The fact sheet shall be in the first section of the prospectus presented via Form 123-1 attached hereto and shall contain details according to the instruction of information disclosure
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
) Staff dealing as specified in Part 4; Management company shall have an operating system sufficiently and effectively in order to protect any acts according to paragraph one which may create conflict of
Part 3; (4) Staff dealing as specified in Part 4; Management company shall have an operating system sufficiently and effectively in order to protect any acts according to paragraph one which may create
governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned by such board of
securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best interest of
business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best interest of investors based
governing offer for sale of newly issued securities to directors or employees. Clause 11 Terms and conditions of warrants shall contain at least the following particulars: (1) details of warrants, at least
shareholders; 2. being unlikely to be able to protect shareholders’ rights by allowing any person to receive financial gain beyond what should be received normally or by causing the company to lose a benefit