specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports
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
derivatives brokerage business, the derivatives broker shall have preparedness of management, policies, measures and personnel as prescribed in clause 4(6) (7) (8) and (9) and harmonize with the elaborate
) (7) (8) and (9) and harmonize with the elaborate commitment specified in its application unless where there is a difference in the details which does not cause such qualification demonstrated in the
.; (b) the complicated nature of the action or the tools using for such action such as using a disguised name of other person or establishing a company for concealment; (c) the record of behaviour of
useful for clients , investors , company or shareholders as a whole, [or] money market or capital market as a whole, or [ii] amendment, remedy or prevention against repetition of such similar facts or
(Translation) PAGE 20 (Unofficial Translation) The Trust for Transactions in Capital Market Act( B.E. 2550 (2007) ________________ BHUMIBOL ADULYADEJ, REX., Given on the 30th Day of December B.E. 2550; Being the 62nd 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 trust for transactions in the capital market; Whereas this Act contains certain provisions relating to the restriction of rights and l...
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
(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...