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

evidence relating to customers’ derivatives trading, shall be kept for a minimum period of five years from either the transaction date, the margin call date, or the release date of such analysis report or

), or international standards issued by the International Federation of Accountants (IFAC) in case the FAP has yet to issue or amend its standards to be in line with such international standards

Notification by the intermediary . In this regard, the SEC Office shall determine such period according to the following scopes: (a) in case of urgent matter which substantially affect the intermediary

” means a person assigned by director of a juristic person to take the highest responsibility in managing such juristic person, no matter what the title is. “Custodian” means private fund custodian

securities’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from

Exchange or the securities trading center with the approval of the Office, as the case may be; (2) short sale of securities which are debt instruments, whereby the Office also has the power to issue

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

matter which substantially affect the intermediary , investors or capital market, the SEC Office may determine to submit thereof within the business day when such matter has been occurred; (b) in case of