entity gives consent thereto, the SEC may specify that such entity shall have the joint duty and responsibility with the securities issuing company in disclosing useful information for decision making of
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...
Associations. The enhanced KYC/CDD process mentioned in the first paragraph shall include: extension of scope in gathering and verifying of information, information gathering in relation to sources of funds used
of capital market products or [ii] the decision for investment on behalf of the client (front running); (2) using investment analysis data, prepared by itself or received for distribution, in favor of
” means any person who is authorized by the derivatives fund manager to make an investment decision to acquire benefits from derivatives for others; “Association” means any derivatives fund management
responsible for making decision on derivatives trading and managing risks of derivatives trading, and such personnel shall have knowledge, understanding and experience that benefit responsible jobs. (2) having
employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The
contract of capital market products or [ii] the decision for investment on behalf of the client (front running); (2) using investment analysis data, prepared by itself or received for distribution, in favor
การซื้อขายสัญญา ซื้อขายล่วงหน้าที่มีสินค้าหรือตัวแปรเป็นสินค้าเกษตร โดยบุคคลดังกล่าวสามารถตัดสินใจซื้อขายสัญญาซื้อขายล่วงหน้าเพื่อลูกค้าเป็นปกติ (day-to-day decision) ได้ตามความยินยอมที่ลูกค้า ได้แสดง
information related to the establishment of the fund and the infrastructure asset for investors’ investment decision making; (3) the monitoring and management of risks related to the infrastructure asset to