Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office

4 Any association related to securities business shall not open a branch office unless granted an approval by the SEC Office. Clause 5 In the case where the license of an association related to

shall not apply to the securities company’s branch office in foreign countries. Clause 3. The securities company shall open within the hours, and close on the days as follows: (1) in case of providing

specified in (1), such information shall be revealed in annual report of fiscal year. And in case of open-end fund, such information shall be revealed in the six-month period report; (3) In case of private

to be reported to their Board of Directors at least on an annual basis. Clause 7. Securities company shall arrange for on-going training for all employees, including those delegated by the companies

Management Companies against the Incorrect Selling Price or Redemption Price of Investment Units of Open-End Funds _____________ By virtue of Clause 26/1 of the Notification of the Securities and Exchange

; (2) in calculating the net asset value and the value of investment unit, together with the selling price and the redemption price of open-end mutual funds and the number of units of provident funds

account); (2) Derivatives position limit of customer at any time; (3) Derivatives position of customer that is still open (open interest); (4) The amount and type of asset deposited as margin or for

OTC เพียงด้านเดียว (open out right position) โดยไม่มีฐานะอื่นมาหักกลบแบบเต็มจำนวนหรือบางส่วน ให้บริษัทคิดค่าความเสี่ยงของ OTC derivatives ดังกล่าวเท่ากับ 40% ของมูลค่าสินทรัพย์อ้างอิงของสัญญาดังกล่าว

and Exchange Act (No. 4) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: (1) “mutual fund” means a closed-ended fund and an open-ended fund; (2) “closed-ended