necessary for fulfilling the duties of the mutual fund supervisor.
licensed to undertake derivatives business in the category of derivatives brokerage. “ assets of client ” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying
changes to such systems are urgent, such fund supervisor may inform the Office of such urgency to request the result of the consideration for such change approval before the fifteen-day deadline is due. Any
Notification by the intermediary . In this regard, the SEC Office shall determine such period according to the following scopes: (a) in case of urgent matter which substantially affect the intermediary
information to the prospective investors. The management company may offer the units for sale upon satisfying the conditions in (2); (2) the offering of the units may commence upon complete compliance with the
intermediary , in order to monitor the compliance with this Notification by the intermediary . In this regard, the SEC Office shall determine such period according to the following scopes: (a) in case of urgent
action as the SEC Office deems appropriate. If any event under the first paragraph occurs and there is an urgent need to protect or alleviate potential damage or if the derivatives business operator fails
(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...