. SEC.Khor.(Wor) 26/2550 Re: Clarification on Guidelines for the Renewal of Approval for Investor Contact Reference is made to the Office’s guidelines for the renewal of approval for investor contact (the
service providers, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code of conduct
administrative work for the arbitrator. Chapter II Filing of Dispute ________________________ Part I General Provision ________________________ Clause 6. The dispute to be filed by the claimant into the arbitral
have been invested, or be a legal custodian in the country where such custodian is located. (5) Be able to show that the personnel of the unit responsible for work relating to fund supervisor is ready or
have the power to specify in its notification the rules with which derivatives business operators shall comply.
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made
made pursuant to the rules specified in the notification of the SEC.
owner in shares under the fourth paragraph of Section 24, a director, an officer or an employee of such derivatives business operator. Furthermore, the auditor shall also adhere to the ethical code of
one fourth of directors to be independent director. In this regard, the independent director shall have qualification and shall not possess prohibited characteristics as specified by the Notification of
Businesses, dated 19 February 2002, have not yet been paid or remain outstanding, the licensees shall be required to pay such fees in full as per the rules and the scheduled time as specified in the said