regulations regarding internal administration or as prescribed by the SEC, the SET must arrange a hearing for members, investor or stakeholders, and get approval by the SEC. 3. Supervision of the Securities
particulars which are material to the agreement. SECTION 134. In managing a private fund, the securities company shall provide a private fund manager with the approval of the Office in accordance with the rules
the powers and duties to supervise the management of the fund and shall have the power to order the fund manager to give statement and provide reports on the management of the fund. If the registrar
duties to supervise the management of the fund and shall have the power to order the fund manager to give statement and provide reports on the management of the fund. If the registrar considers that any
) representation of the debenture issuer to mortgage, pledge or provide other collateral against the debenture within the specified period of time in accordance with Section 44; (8) procedures for, time and place of
, pledge or provide other collateral against the debenture within the specified period of time in accordance with Section 44; (8) procedures for, time and place of payment of debt; (9) procedures for the
specified in the contract, or to demand the other party to enter into a contract under subsection (1) or (2). “derivatives business” means the undertaking to provide services as the following: (1) a
as specified in the contract, or to demand the other party to enter into a contract under subsection (1) or (2). “derivatives business” means the undertaking to provide services as the following: (1) a
against such obligation, the derivatives business operator shall provide collateral for the amount requested for set off to the administrator of the customer estate https://www.sec.or.th/TH/Documents
days from the date on which the company has received such report. SECTION 89/17 A company shall arrange a system for safekeeping of documents and evidence in relation to disclosure of information under