-trading between mutual funds under the same management company, the transaction shall have the following characteristics: (a) being a transaction which is appropriate to investment policy and necessity of
Agricultural Futures Trading Act B.E. 2542 (1999) to obtain the license, such licensed operator shall have the paid-up registered capital of no less than the following amounts: (1) twenty-five million baht from
Securities and Exchange Commission No. Sor Thor. 18/2563 Re: Holidays of Securities Companies and Derivatives Business Operators for the Year 2020 (No. 2) Whereas the Cabinet has passed the resolution
rules: (1) send a written request for the resolution of the unitholders or call a meeting of the unitholders; (2) provide sufficient information for the unitholders’ decision making in the written request
well as maintaining the integrity of the capital market and the derivatives trading system as a whole. Clause 3 In setting the organizational structure, operating system and operational control under
Paragraph 1 shall be based on the trading value of each transaction. (12)3 repealed; (13)2 “ connected person ” means the following persons; (a) connected person under the Notification concerning Conduct
) a person who had been licensed to undertake the derivatives business in the category of Futures broker under the Agricultural Futures Trading Act B.E. 2542 (1991) as of the date when the Cabinet
date on which the claimant files the complaint, unless the claimant agrees to extend such period; or 3. the claimant is not satisfied with the compliant resolution. Clause 7. In filing the dispute to the
necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office
. 4.2 Having a system for handling clients’ complaints and dispute resolution efficiently, for instance, compliance with the Notification of the Capital Market Supervisory Board concerning Rules on Duty