agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or
Section 34 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34
Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Derivatives broker” means any person licensed to undertake derivatives business in the category of
) , including Section 18 Section 33 and Section 34 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons which Section 29 in
August 2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “ derivatives broker ” means any person licensed to undertake derivatives business in the category of
Period of Retention Application Logs User IDs, IP Addresses, Dates and Times. In case of the securities trading system, the details shall include: Securities Symbol, Broker Numbers (4-digit), SET Order IDs
Governance Describe the action or compliance with the Corporate Governance Code (CG Code) 2017 for listed companies with at least the following information. In case of non-compliance in any matter, provide
Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the
offering, or the rules, conditions and procedures for share offering of a limited company in accordance with the Civil and Commercial Code in a general case or to the general public, as the case may be. In
owner in shares under the fourth paragraph of Section 24, a director, an officer or an employee of such derivatives business operator. Furthermore, the auditor shall also adhere to the ethical code of