or person who may have conflicts of interest that may impede the exercise of independent judgment, and any relationship that causes the inability to freely give comments on the operation of the
hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 July 2014. Chapter 1 General Provisions Clause 2 In this Notification, application form and the tables
Board hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 July 2014. Chapter 1 General Provisions Clause 2 In this Notification, application form and the
appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.
Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
notification of the Office when customers request to enter into an arbitration process as organized by the Office for the settlement of civil disputes incidental to or resulted from the derivatives business
other party who is obliged to make payment for such goods at a given time in the future according to the amount and price as specified in the contract which is entered into outside the derivatives
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
, which shall take into account the standards approved by the Board of Auditing Practices under the law relating to auditors. The financial statements under the second paragraph must be examined and given