allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept
purchase or sell a securities with a [concurrent] agreement to sell back or buy back such securities; (3) any contract or trade as specified in the notification of the SEC. SECTION 5. Any derivatives
(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...
into force from 16 August 2006. Clasue 2. The following shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission No. SorNor. 44/2541 Re: Rules on Affiliated Transaction
exercises effective control in relation to the customer’s account or transactions; (5) “suspicious transaction” means suspicious transactions to be reported under anti-money laundering legislations; (6) “anti
should be, since the intermediary also receives the interest as a result of such service or of the outcome of a transaction carried out on behalf of the client , or [ii] providing inappropriate services to
Nature of Options Options is a contract in which the seller gives the buyer the right to buy or sell the underlying asset at a fixed price within a specified period of time and conditions, or the right to
client confirms the transaction. Clause 13 A securities company shall not buy or sell securities by using insider information in a manner that may be deemed taking advantage of a third party or disclose
has rendered improper benefit to a client differentiated from it should be, since the intermediary also receives the interest as a result of such service or of the outcome of a transaction carried out
securities dealing or cease to execute debt securities dealing transactions provided that the securities company had notified to the Office the ceasing of business operation or the ceasing of transaction