DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning

Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities

17 February 2009, the Cabinet has declared 6 July 2009 a special public holiday in order to stimulate domestic consumption and promote tourism business. By virtue of Section 110 of the Securities and

prescribed rules; (3) Proxy voting as a shareholder to protect the interest of the fund and to demonstrate the intention to promote good corporate governance for the listed company; (4) The acceptance of

comply with the requirements prescribed by the Office. This is to encourage securities companies to organize more in-house training which will support the ongoing personnel’s skill development to be better

information which is given in the prospectus or which is aimed to be educational or to provide facts without the intention to promote sales of investment units, services or the operation of fund management, or

media or objects. This does not include the information which is given in the prospectus or which is aimed to be educational or to provide facts without the intention to promote sales of investment units

assuming responsibility for management decisions for audit client; · operate an enforcement mechanism to promote compliance with the policies and procedures; · empower staff to communicate concerns to senior

approval of, and registration with, the SEC Office with the objective to promote and develop securities businesses in the category of investment management. Clause 2 This Notification is intended to

main objective is to promote and develop securities businesses in the category of investment management; “Private fund manager” means a director or an employee of a securities company licensed to