Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
being ready to manage funds for others, with the intention of investing in derivatives, for profit and has been licensed or registered under this Act, excluding those derivatives fund managers with the
. Furthermore, section 110 of the same Act prescribes that securities companies shall open up within the hours, and close on the days, as prescribed by the Office, except where the Office grants permission for it
fund management company to manage or to procure the benefit from property which the mutual fund purchase or rent; “Selling and redemption supporter” means any person which mutual fund management company
ล่วงหน้า ไม่ดำเนินการล้างฐานะสัญญาซื้อขายล่วงหน้า (close out position / force close) ในวันที่ 19 ธันวาคม 2549 จนทำให้ลูกค้าบางรายได้รับความเสียหายและอาจนำไปสู่ข้อร้องเรียนได้ นั้น สำนักงานขอเรียนว่า
whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited
Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the
of business, engages in the business of managing funds for others, or holds himself out to the general public as being ready to manage funds for others, with the intention of investing in derivatives