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 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
reports have been finalized? If yes, Please describe the policies and procedures. 14 Has the firm established policies and procedures designed to maintain the confidentiality, safe custody, integrity
necessary to maintain the stability of the financial and economic system of the country, or to maintain the stability of the trading and settlement system of the derivatives market. Signed
financial stability with capability and readiness to provide service and comply with rules prescribed by the SEC or of the Office and guidelines specified by derivatives broker. Such guideline shall at least
service providers, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code of conduct
issues which many arise from the enforcement of this Act. SECTION 10. In cases where it is necessary to maintain economic stability or protect the public interest or investors, the SEC shall have the power
derivatives trade which shall at least contain the rule on financial stability and position, as well as the conduct of business, and there shall be specified the concerned provisions of law or rule, and the
custodian: (a) System for separating the private fund assets from the custodian’s assets, system for safe keeping of such assets, and internal control system to prevent the misuse of its client’s assets; (b
keeping the password in the safe etc. and restriction for the necessary case only · Specifying the compliance period and instantly when that period had lapse. · Change the password strictly in case of the