The Derivatives Act The Derivatives Act B.E. 2546 SECTION 31. The provisions of this Division shall apply to derivatives agent licensed under Section 16. The SEC may, if appropriate, promulgate the
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate
be in accordance with the rules specified in the notification of the SEC. Chapter 2 Creation of Trust ______________ Division 1 Trust Instrument _____________ SECTION 11 A trust is created when a
or contracts. “ insurance ” means the professional indemtity insurance. Chapter 1 Calculation and Reporting of Maintenance of Capital Division 1 Liquid Assets and Insurance Used for Maintenance of
for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the clients’ execution of transactions closely. While reviewing and revising
the performance of duties under this Act, subject to the rules specified in the notification of the Capital Market Supervisory Board. CHAPTER 2 DERIVATIVES BUSINESS DIVISION 1 SUPERVISION OF DERIVATIVES
ออก มีการกระทำใดที่กระทบต่อมูลค่า ของหุ้นอ้างอิง เช่น เปลี่ยนแปลงมูลค่าที่ตราไว้ของหุ้น (split หุ้น) เสนอขายหุ้นที่ออกใหม่ในราคาต่ำกว่าราคาตลาด ซึ่งทำให้หุ้นเดิมเกิด dilution เป็นต้น ผู้ถือ warrant ก็จะ
internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the division and personnel
Clause 2 have details as provided in appendix at the end of this Notification of Practice Guidelines, whereby such details are as the following matters: (1) Division 1 Objectives of practice guidelines for
DIVISION 1 SECURITIES AND EXCHANGE COMMISSION SECTION 8.4 A Securities and Exchange Commission hereby referred to as the "SEC" shall be established, comprising the Chairman appointed by the Cabinet upon