, servicing person or any person; 3. having a trading account of and investing in capital market products belonging to directors, executives and other personnel, in order that the intermediary able to pursue
. receiving a gift or other benefits from the client , servicing person or any person; 3. having a trading account of and investing in capital market products belonging to directors, executives and other
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
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
appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.
Office hereby issues the following regulations: Clause 1 In this Notification: “ derivatives broker ” means a person licensed to undertake derivatives business in the category of derivatives brokerage
, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Office of the
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister