. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the general public as being ready to engage as an agent in the business of trading in derivatives
in a governmental agency, the SEC Office, the Stock Exchange, the over-the-counter center or the Derivatives Exchange, who is in the position or the condition that can access inside information through
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
(Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as both Houses of Parliam...
supervise and operate the Fund in accordance with the objectives specified under Section 218/2. Such powers and duties shall include: ( 1) laying out the management policy, approving the operating plan, the
Board requires more votes than the majority votes. 3. Supervision of the Securities Exchange 5/10 • Enhancing supervision of the SEC on the securities exchange (the Stock Exchange of Thailand: “the SET
make payment out of the fund to the employee in accordance with the rules and procedures provided in the fund’s articles and as prescribed by Section 23/1, and such payment shall be made in one lump sum
out duties on his behalf and may authorize the entrusted agency to appoint its officials to be the competent officials for executing the duties under this Act. Section 12 bis.2 The registrar shall have
generally for the implementation of the provisions of this Act. In order to implement the first paragraph, the Minister may entrust any governmental agency under his supervision to carry out duties on his