responsible for issuing rules for preventing conflict of interest, internal control of such investment advisory company, including the supervision of advisors to comply with the law, related Notifications and
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
arbitral process under the Derivatives Act B.E. 2546 (2003) in addition to the arbitral process under the Securities and Exchange Act B.E. 2535 (1992), it is deemed necessary to improve the processes and
reference. PAGE 10 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________
-securities derivatives and derivatives advisory service; (3) “ debt securities derivatives ” means derivatives whose underlying products are debt securities or variables are interest rates or any other
derivatives whose underlying products are debt securities or variables are interest rates or any other variables as prescribed by the Office; (4) “applicant” means a person applying for derivatives business
Exchange Commission No. SorNor. 21/2551 Re: Acts that may Create Conflicts of Interest on Fund Management and Protective Rules (No. 2) -------------------------------- By virtue of the Section 126(1) of the
Interest of Financial Institutions shall hold at least seventy-five percent of the total shares sold; and (2) the Ministry of Finance shall hold at least ten percent of the total shares sold. Clause 2 This
ใน TFEX จำนวน ลูกค้า การซื้อขายอนุพันธ์ ในตลาดอื่น Equity Interest rate Foreign exchange rate อื่นๆ Equity Interest rate Foreign exchange rate อื่นๆ ปริ มาณ ซื้อ ปริ มาณ ขาย รวม ปริ มาณ ซื้อ ปริ
3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing services to the client , as specified in details in Chapter 5