or prohibit establishment of additional branch offices. Clause 9. Where any management company has been provided services in the form of a service office permitted by the Office pursuant to the
DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...
period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are
need to resign; · require the documentation of all considerations and justification where firm chooses to safeguards against rather than eliminate a threat; · prohibit audit team members from making or
circumstance that gives rise to justifiable doubts as to their impartiality or independence, the respondent shall submit a letter of challenge together with the reason for the challenge as per Form OrYor. 6
shall prohibit such personnel from providing services to clients regarding investment in capital market products denominated in foreign currency . Notified this 17th day of January 2017. (Mr. Rapee
the specified period, the intermediary shall prohibit such personnel from providing services to clients regarding investment in capital market products denominated in foreign currency . Notified this
derivatives agents to restrict or prohibit a client from acquiring further position, to close its trading accounts or to liquidate his/her position if the client’s derivatives transactions have or may have
(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...
audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and evidence relating to the operation to facilitate the