rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
-date. Also, the derivatives broker shall submit clients in accordance with the rules specified in the notification of the SEC Office. Clause 5. Derivatives broker shall not engage in any act which
Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its
(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...
for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business operator, futures trading manager or futures
outsourcing thereof. Clause 13 An intermediary shall employ personnel in capital market business in sufficient amount for undertaking its business, with the knowledge, skill and expertise necessary for
by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) stipulates that no securities companies shall engage in any other business which is not a licensed securities business, except when an
under the Notifications of Capital Market Supervisory Board concerning the outsourcing thereof. Clause 13 An intermediary shall employ personnel in capital market business in sufficient amount for
general public as being ready to engage as an agent in the business of trading in derivatives with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the
the fund or causing fund to lose its best benefit. Except that the transaction is specified in Clause 13; (3) Management company perform any acts to engage into assets trading or enter to be