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

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

marketing officer [A] 2. Damage Prevention 2.1 Fire Prevention system · Providing an alarm device such as smoke detector, heat detector etc. in order to prevent or suppress fire immediately. [M] · The

Section 143 of the Securities and Exchange Act, B.E. 2535 (1992) to give an order otherwise, the investment advisory company under Clause 3 which is unable to maintain adequate collateral and liquid asset

and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer

governance meet the following criteria in order to comply with the governance of information technology of the intermediary established under Clause 5: (1) policy on the governance of information technology

. Clause 2 In order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services

Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9

held, in order to secure the performance of derivatives contract. Clause 2. Derivatives broker shall provide evidences relating to derivatives trading as follows: (1) The evidence relating to the taking

client to comply with the following rules in order to deliver ETF units or underlying shares of ETF according to the short selling transactions within the period as specified by the clearing house or