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
that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the
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
, following the Office’s guideline which will be notified in advance. Clause 11. The advertisement shall not contain the followings: (1) information that is false, exaggerating or misleading; (2) information
consideration for approval of establishment and management. Clause 4. The advertisement shall not contain the followings: (1) information that is false, exaggerating or misleading; (2) information and estimated
contained in the Registration Statement is vested in the issuer. If the Registration Statement contains any false statement or particulars or omits to state any material information which should have been
. Provisions in the Notification No. Sor Thor. 37/2559 Clause 18 An intermediary shall establish physical and environmental security measures to protect IT assets in accordance with the following criteria: (1
client’s assets; □ (3.6) System to prevent conflict of interest and protect client’s confidential information; □ (3.7) System for selection of a custodian agent to ensure that the custodian agent has a
subsidiaries and affiliates to protect the best interest of the Company's investment. Steps taken are such as: - assigning representatives to be director, executive or controlling person in such companies, in
client’s derivatives trading is inappropriate or may contravene the law on derivatives ; (c) the client fails to notify, provide information or prepare clarification under subclause (1), or provides false or