under (b) or (c). (2) within a period of ten years prior to the filing date of the application for an approval to establish a fund, such person has been sentenced by a final judgement in an offense
are enforceable under the SEC Act, the violation of which is a criminal offence. The extent of the SEC’s authority is further defined in SEC notifications, in which details of its context and powers
) from doing or omitting to do any act in violation or contradiction of the Securities and Exchange Act B.E. 2535 (1992) , the Derivatives Act B.E. 2546 , the Trust for Transactions in Capital Market B.E
clearly in writing and supervise to ensure that no securities trading transactions of clients shall be revised in violation of or inconsistent with the specified methods and procedures. Chapter 5 Sending
ensure that no securities trading transactions of clients shall be revised in violation of or inconsistent with the specified methods and procedures. Chapter 5 Sending out Transaction Confirmation of
ensure that no securities trading transactions of clients shall be revised in violation of or inconsistent with the specified methods and procedures. Chapter 5 Sending out Transaction Confirmation of
under one’s management or to prevent staffs under one’s supervision (if any) from doing or omitting to do any act in violation or contradiction of the Securities and Exchange Act B.E. 2535 (1992) , the
, obligor, originator, underwriter, or arranger, the policies, procedures, and controls should prohibit the CRA and its employees from using or disclosing such information in violation of the terms of any
supervision (if any) from doing or omitting to do any act in violation or contradiction of the Securities and Exchange Act B.E. 2535 (1992), the Derivatives Act B.E. 2546, the Trust for Transactions in Capital
sale in violation of the criteria for offer for sale in a private placement to institutional investors or high net worth investors within a period of two years prior to the filing of the application