) the Government Pension Fund; (11) provident funds; (12) mutual funds; (13) juristic persons whose audited financial statement of the recent year demonstrate a capital investment exceeds one hundred
business operation in the category of derivatives broker; “futures” means a contract trading on the derivatives exchange with any one or more of the following characteristics: (1) a contract in which a party
application for an approval to the Office to amend mutual fund management scheme to comply with the provision of this notification after registered as a mutual fund to the Office, but not exceed one year as
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
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
Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and
. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.
Section 19 Securities and Exchange Act B.E. 2535 Section 19. The Office has the power and duty to perform any act necessary for the implementation of the SEC’s resolutions and to perform any other
the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an