the Law on Securities and Exchange. “ goods ” means securities , gold , crude oil and other goods as prescribed under the Notification of the Securities and Exchange Commission Re: Determining

of derivatives broker; “derivatives contract” means a derivatives contract under Section 3 of the Derivatives Act B.E. 2546 (2003) having securities, gold, crude oil, currencies, exchange rate

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 3. In this Act: “goods” means securities, gold, crude oil, or any other property as specified in the notification of the SEC with the

, crude oil, or any other property as specified in the notification of the SEC with the approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index

persons who demand information to get a convenient access without requirement for member subscription; and (c) giving advice without any core objectives of providing advisory services to other persons

ร้อยละ 80 ของ NAV เสี่ยงสูงมาก 8* กองทุนที่มีการลงทุนในทรัพย์สินทางเลือก - มีนโยบายลงทุนในทรัพย์สินที่เป็นทางเลือกใหม่ในการลงทุนหรือมีโครงสร้างซับซ้อน เข้าใจยาก เช่น commodity/gold fund /oil fund

for rendering the securities company get service of information technology from other provider efficiently, acceptable and able to control a risk and having a content cover guideline for selection and

) Financial Institutions established under specific law which is a financial institution under the law on loan interest rate of financial institution. Clause 16/1. A securities company shall get to know its

customer, derivatives broker shall inform and get the customer’s consent in written. (6) In cases where derivatives broker giving advice related to derivatives contract, derivatives broker shall give

necessary. (2) a procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or