The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
, issuance and settlement of securities, and organization of shareholders? meetings, etc., (2) facilitating businesses? access to necessary information under possession of governmental agencies for the benefit
: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities
: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities
control system; (2) reviewing the financial report and financial information of the Office; (3) coordinating with the Office of the Auditor General of Thailand in the matter of auditing the financial
the securities dealing which are not debt instrument mutatis mutandis . Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing, to be approved by the Board
. 7 Clause 16 shall apply to the securities dealing which are not debt instrument mutatis mutandis. Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing
entrusted to perform the duty for a securities company. Clause 3/2. 7 Clause 16 shall apply to the securities dealing which are not debt instrument mutatis mutandis. Chapter 1 Operational Control Clause 4. A
Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No