Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and

UNOFFICIAL TRANSLATION Codified up to No. 4 As of 23 November 2020 Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for

Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a

Operational Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well

ช่วงระยะเวลา 5 วัน และเป็นการซื้อขายแบบ big lot (put-through) บน SET อย่างไรก็ดี การซื้อขายตรงข้ามกันผ่าน organized market เช่น SET หรือ BEX ผ่านระบบการจับคู่อัตโนมัติไม่ต้องรายงาน · กรณีที่กองทุนซื้อ

use. ---------------------- Notification of the Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the

securities in the Stock Exchange through the Securities Trading System set up by the Stock Exchange; “Stock Exchange” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and

providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the

currency in the following matters: (1) General Provisions related to Providing Services shall be as set out in Chapter 1; (2) Specific Provisions related to Providing Services of Inbound Products which are