. ------------------------------- The Securities and Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 20/2547 Re: Rules for Derivatives Fund Management ______________________ To assure investors
statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of
consideration a suitability of provider, including control and inspect the compliance of the provider strictly in order to assure that the provider is able to comply with the regulation prescribed by this
, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in
of any act, willfully or negligently, of the service provider; (2) Conditions and guidelines for the contract termination or suspension of service; (3) Service fees rate. Clause 9. In order to assure
provider; (2) Conditions and procedures for the termination of contract or suspension of service; (3) Service fees rate. Clause 7. In order to assure the capability of the securities company in undertaking
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
operate for a period in order to assure that a functionality having an efficiency, the assessment system is correct and complete and satisfies the need of user. [A] 2.7 Communication of alteration
interest of investors based on proper and effective rules and regulations. This serves to assure investors that management companies will appropriately manage the investments for investors, keeping in mind
DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...