Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is
THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
damages arising from or related to its use. ---------------------- Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 26/2551 Re: Rules, Conditions and Procedures for Being Executive
, the SEC Office, with the approval of the Capital Market Supervisory Board, shall have the power to prescribe and notify the rules, conditions and procedures for management company to comply with so as
management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to
to check whether the work performance of such designated person is within the scope of power, duties and responsibilities; (2) determining clearly the rules concerning consideration for approval of
Supervisory Board must be complied with. SECTION 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and appoint competent
order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the Capital Market Supervisory Board shall have the power to specify in its
specified in the Notification of the Capital Market Supervisory Board in accordance with Section 41 of the Derivatives Act B.E.2546 (2003), and any other securities company as additionally specified in the
) stipulates that the Capital Market Supervisory Board, in place of the Securities and Exchange Commission, shall have the power to specify rules governing derivatives business operators. As such the requirement