(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...
exposure is acceptable or not. The Client should also consider a potential of return on acquiring a position, amount of premium and transaction fees and possible losses. 3.2 Fees on Derivatives Trading Prior
, except for the advertisement of retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 12. In case the
retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 5. In case of advertisement of guaranteed fund or private
accordance with Section 52. An appeal of court’s ruling under the first paragraph shall be submitted to the supreme court. Chapter 3 Right, Duty and Liability of Trustee ____________ SECTION 30 For the highest
) securities companies other than the securities company under (1) and (2) but not including financial institutions established by any other law which have obtained securities business license after acquiring a
financial institutions established by any other law which have obtained securities business license after acquiring a status as financial institution; (6) a person who obtains derivatives business license in
promulgated under the second paragraph shall specify the committee members’ qualifications, the procedures on appeal submission, and consideration thereon. SECTION 59. In cases where there is any person holding
included in the private fund management agreement. 3.3.3 Acquiring and Delivering of assets of the fund Objective A management company shall have a clear rule of practices concerning the acquiring and
the current one. - in case of acquiring assets, clarify the types of assets and the approximate spending amount. - in case of investing in a business, clarify the nature of the business to be invested