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
Additional Rules for Proprietary Trading of Securities Companies __________________________ Division 1 Rules on Investment _______________ Clause 7 An operating system supervising the proprietary trading of a
Agreements with Clients prior to Providing Services ______________________ Division 1 General Provisions _______________________ Clause 10 In cases where an intermediary is required to make an agreement with a
internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the division and personnel
Infrastructure Asset in Part 4. In the case where the approval for the establishment of a fund is terminated under the rules in Division 3 of Chapter 2, the management company shall proceed in accordance with such
Clause 2 have details as provided in appendix at the end of this Notification of Practice Guidelines, whereby such details are as the following matters: (1) Division 1 Objectives of practice guidelines for
ประเทศ -> หน่วยกองอสังหาฯ และตราสาร REITs single fund limit ≤ 10% ; total fund limit ≤ 20% (ข้อ 74 ประกาศ สน. 24/2552) single fund limit ≤ 15% (ข้อ 62(6) ประกาศ สน. 24/2552) single fund limit ≤ 15
services suitable to each client carefully, especially with special care to the following clients: (1) any individual who is sixty years old or older; and (2) any person who has little financial knowledge
management” means a deputy manager, an assistant manager, a division director, a branch manager, and any persons holding equivalent position called otherwise and such person shall be responsible for services