, operational management, compliance and internal control. Clause 4 The derivatives dealer shall provide a system for recording and keeping information to ensure that the information pertaining to the derivatives

the client . Division 2 Measures for preventing and managing conflicts of interest _____________________________ Clause 17 An intermediary shall determine the policy, in writing, pertaining to

securities trading to the subject securities companies within the fifteenth day of the following month, including other information pertaining to such securities trading account which is beneficial for

intermediary shall determine the policy, in writing, pertaining to preventing and managing conflicts of interest which board of directors or a committee assigned by board of directors has already approved such

pertaining to the bonds thereof, the intermediary shall disclose information to clients in accordance with the following criteria: (1) disclose information on risks and characteristics of the bonds by one or

in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business to give advice pertaining to the bonds thereof, the intermediary

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

the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His

means short-term investments with high liquidity ready to be converted into definite amounts of cash, and low risk of value changing or pertaining insignificant value changing, most of which are bills or

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 31. The provisions of this Division shall apply to derivatives agent licensed under Section 16. The SEC may, if appropriate, promulgate the