as well as provide proper and sufficient information disclosure to investors. By virtue of Section 9, Section 18, Section 31 and Section 41 of the Derivatives Act B.E. 2546 (2003), the Securities and
) allocate sufficient resources and budget to persons who relate to any operation in compliance with such policy and plan; (2) provide a measure to control and monitor operation under such policy and plan
) allocate sufficient resources and budget to persons who relate to any operation in compliance with such policy and plan; (2) provide a measure to control and monitor operation under such policy and plan
Clause 38 In case an intermediary wishes to analyze and provide consultation relating to the investment to its client , the intermediary shall comply with the following rules: (1) [i] arrange a person who
, such securities company may arrange for a person who is not an investor contact to proceed, provided that such securities company shall comply with the following rules: (1) provide information to the
communication with the client of such matter takes place; (b) arrange a system that allows the client to communicate with the securities company’s employee who can provide such information to the client at the
market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties
conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in
readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in accordance with laws, regulations
fund management company shall provide an option for unitholders of a closed-end mutual fund to exit from the closed-end mutual fund, (if unitholders opt to exit) the mutual fund shall comply with the