will be major shareholders of the securities companies, as follows: (1) major factor which is the facts that the Office give more weight than other facts in considering, as follows: (a) the scope of
profit in short space of time, and vice versa, he or she may make a large amount of lose in that time which can be over the initial margin placed with the derivatives broker. 4. Risk from futures position
recognition higher than investments in subsidiary and associated company in case of the subsidiary and associated company lose more than their capital. 3.8 Securities business account receivable and allowance
the fund or causing fund to lose its best benefit. Except that the transaction is specified in Clause 13; (3) Management company perform any acts to engage into assets trading or enter to be
client to lose or be required to deposit more collateral; (2) had the client fail to pay, deliver securities or deposit collateral within the specified period of time, the client may face the following
Commission concerning Additional Rules for Mutual Fund Investing in Derivatives and Credit Linked Notes ; (3) investment units of a mutual fund whose returns calculation is made in a complicated way (complex
fund of which the returns calculation is made in a complicated way (complex return fund); (d) investment units of a mutual fund of which the fund's net exposure in commodities is made through its
’ rights by allowing any person to receive financial gain beyond what should be received normally or by causing the company to lose a benefit that should have been received. (c) having an application for an
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...