Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short-term investment shall not be made
Capital Adequacy of Some Specific Intermediaries (No. 2 ) dated 20 February 2017. Clause 2 In this Notification: “ intermediary ” means an intermediar y engaging in the business of investment advisory
the Law on Securities and Exchange. “ goods ” means securities , gold , crude oil and other goods as prescribed under the Notification of the Securities and Exchange Commission Re: Determining
facts which should be revealed in order to deceive or materially mislead clients pertaining to derivatives, goods or variables. Clause 9 2 In engaging in derivatives with clients, the derivatives dealer
July 2006 shall be repealed and replaced by the following provision: “ Clause 13. When engaging in any affiliated transaction for the fund, the management company shall act in the interests of the fund
, crude oil, or any other property as specified in the notification of the SEC with the approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index
of derivatives broker; “derivatives contract” means a derivatives contract under Section 3 of the Derivatives Act B.E. 2546 (2003) having securities, gold, crude oil, currencies, exchange rate
references when engaging senior audit staff? Does the firm examine or interview candidates before recruit them? C Training 1 Does the firm have an induction course for new audit staff on firm’s policies and
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 3. In this Act: “goods” means securities, gold, crude oil, or any other property as specified in the notification of the SEC with the
of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling precious metal in Thailand; (3