securities company with an acceptable standard for Operational Control and Security of the information technology of a securities company. The essential of this guideline is compose of: 1. Policy of Security
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
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate
objection in writing within fifteen days from the date of receiving such notification, the custodian may proceed with changes of such operation system. In case where it is necessary to change the operation
financial position, no sign of misconducts or no records which make it inappropriate for the company to expand its business by means of establishing a branch office, and no sign of misconducts or no records
broadening cross-border investment channels and product choices for investors in both markets. This cooperation framework opens up new business opportunities for Thai AMCs by allowing them to expand investor
who have suitable knowledge and ability for the duty; (2) Disclosure of information that is necessary for making investment decision to the client including investment risk, fees or expenses, conflict
necessary for fulfilling the duties of the mutual fund supervisor.
unitholders as well as to do all other acts as may be necessary for the completion of liquidation in accordance with the rules, conditions and procedures as specified in the notification of the SEC. The
office or a full-service branch office for approval; (3) accept or deliver money or securities by electronic equipment; (4) undertake any other necessary duties as prescribed by the notification of the