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
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
develop the capital market. Highlights of these effort are the workshop meeting with all sectors of market participants chaired by His Excellency the Prime Minister on May 31, 2001, and the compilation of
any other event in which such rejection or suspension is necessary in order to protect unitholders’ interest; or (3) the mutual fund makes investment in securities or assets in a foreign country and any
client’s asset which is under the following rules: (a) in case the client’s assets have been in custody of the intermediary, the administrative system shall be provided adequately in order to protect the
Office, and the Bank of Thailand, for the purposes of supervising and examining the financial status and risks of members. 8 Clause 19 To preserve the public interest and to protect investors, a securities