and efficient management of risks, in line with the good corporate governance principles. Provisions in the Notification No. Sor Thor. 37/2559 Clause 5 An intermediary shall establish a documented
of Section 9 and the third paragraph of Section 16 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberty of persons which Section 29
Derivatives _____________ By virtue of Section 9 and the third paragraph of Section 16 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberty
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
membership; (5) the provisions regarding the number of committee members, the election and appointment procedures, the term of office, the termination of office, and the meetings of the fund committee; (6) the
. KorNor. 22/2552 Re: Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management _____________ By virtue of Section 4 and Section 14 of the
Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives
Notification of the Securities and Exchange Commission concerning Exemption from the Provisions on Public Offering for Unit Offering of Foreign Collective Investment Schemes ; “ intermediary ” means: (1) a
provision of this notification, management company shall perform to amend the operating system to comply with such provisions within 90 days as from the date of this notification become effective. Notified on