must prepare a risk disclosure statement that contain the minimum aspect of disclosure as set out under the guideline attached hereto. Clause 3. This Notification shall come into force as from 1 April
to the rules specified in the notification of the SEC Office. SECTION 32 A trustee shall be prohibited to set off the obligation arising beyond the performance in trusteeship owed by the trustee to a
exchange, outside the Securities Exchange or an over-the-counter center, of securities, for one's own account in the normal course of business. "investment advisory service" means giving advice in the normal
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
a period of time in the future as set out in the contract is paid to the other party. 1.2 Risk of Loss in Trading Futures In futures trading, buyers (a party with long position) and sellers (a party
; (2) direct or control the acquisition, disposal or creation of encumbrance over shares issued by a derivatives business operator; or (3) direct or control any other matters as specified in the
. In this regard, the securities company shall set out rules on seeking and granting of approval in writing. Clause 15 In cases where a securities company finds that an investor contact may violate or
is the contracting party to set up a mechanism for the management company or its delegate to examine or verify the correctness of the portion of income the fund received under the agreement and to
ประเภทธุรกิจ อันอาจก่อให้เกิดความไม่เป็นธรรมแก่ลูกค้า หรือทำให้ลูกค้า เสียประโยชน์ที่ควรได้รับหรือไม่ได้รับประโยชน์ที่ดีที่สุด ทั้งนี้ ผู้ประกอบธุรกิจต้องมีมาตรการในการป้องกันกรณี over the wall เช่น กรณี
with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets