) amount and category of assets ; (3) cause of receipt or disposal of assets . In cases where the assets recorded in a client’s account belong to a third party and are deposited as collateral for the benefit

details: (1) date of receipt or payment of the assets; (2) amount and category of the assets; (3) the cause of receipt or payment of the assets. In case where the assets under the client’s account belong to

in the firm Address City State Postcode Country E-mail address Telephone number Fax number Does your firm belong to an international network ? Yes No If yes, please state the – Name of the network

case may be; (1) Management company obtained the soft commission from any person for its own account, deriving from the service offered by such person concerning the management of fund; (2) Management

acts under the provisions of this Act or other laws. In exercising the power and duty of the Office under the first paragraph, the Office shall have the power to: (1)  own, possess, hold any proprietary

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for

the derivatives broker is a securities company which has obtained an approval from the Office to make a derivatives trading for their own account according to the notification governing derivatives

comply with the provisions prescribed herein or the rules prescribed by the SEC Office by virtue of this Notification, or the service provider fails to maintain the qualifications or possess prohibited

business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may

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