preserved information media and duplicate the procedure or compliance guideline in other place for security in case of he operational place damaged and providing the entrance controlling and damage prevention
an agency supervising such financial institution or the Commission of the Organization for Reformation of Financial Institution System or has been ordered to rectify the damaged financial position by
be applicable to the following clients: (1) a derivatives business operator under Thai or foreign law; (2) clients other than Subclause (1) who decline, in writing, to the derivatives dealer , to
registered person, such person shall notify the decline of such renewal to the management company who has appointed such registered person as its fund supervisor within the next following date after the Office
rectify the damaged financial position by decreasing capital and subsequently increased its capital under the assistance of a State agency or financial institution, unless exempted by the SEC: O yes O being
investment for the client , the intermediary shall provide a system for controlling the client ’s assets to prevent being lost, damaged and unlawful exploitation; (10) having compliance system in accordance
, damaged and unlawful exploitation; (10) having compliance system in accordance with the Notification of the Capital Market Supervisory Board concerning Establishment of Compliance Unit of Intermediaries
Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, 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 Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...
DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...