submit reports on investment in or disposition of assets which requires transferring of the securities company’s money out of or into the country. Such reports shall be prepared and submitted as per the
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
liabilities related to the period or payable amount. The company is able to estimate respectfully such liabilities value and being an encumbrance has an opportunity to cause a business loss economic interest
ภาคผนวก 1 ภาคผนวก 1 กลุ่มประเทศ Organization for Economic Co-operation and Development (OECD) และประเทศที่มีฐานะการเงินเทียบเท่า ออสเตรเลีย เกาหลีใต้ ออสเตรีย ลักเซมเบิร์ก เบลเยียม เม็กซิโก แคนาดา
with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets
taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the
issues which many arise from the enforcement of this Act. SECTION 10. In cases where it is necessary to maintain economic stability or protect the public interest or investors, the SEC shall have the power
pledged with the fund’s counter parties; Transferring of money or assets for other objectives other than the objectives provided in 1 and 2 shall be approved by the authorized person (such as compliance). 3
not be considered as an appointment of an agent to undertake custody of clients’ assets . Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring