-trading between mutual funds under the same management company, the transaction shall have the following characteristics: (a) being a transaction which is appropriate to investment policy and necessity of
partner or a shareholder, except: (a) being an advisor or a director of a securities company who has no power of management in the securities company; (b) in the case where the exemption has been granted by
having agricultural products as underlying assets or variables which are entered into outside the derivatives exchange and are in accordance with the following criteria: (a) being entered into before 16
of the outbound product is not subject to any prohibition order by the regulators: (a) being a regulator which is a member of the International Organization of Securities Commissions (“IOSCO”) and is
of the outbound product is not subject to any prohibition order by the regulators: (a) being a regulator which is a member of the International Organization of Securities Commissions (“IOSCO”) and is
Office and a specialist recognized by the SEC Office; (2) being an asset appraiser who is a foreign person, provided that the additional rules shall be complied with, as follows: (a) being on the official
. TorThor. 25/2551 Re: Initial and Maintenance Margin Requirements for Derivatives Trading in Derivatives Exchange _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) which contains
the duties similar to fund manager. (2) Specific Rules (a) Being a manager of the management company or holding any position from second to manager down to department director whose role is responsible
following conditions: (a) being imposed a civil penalty by Civil Penalty Committee or being ordered or judged a civil penalty by court to prohibit the persons from being directors or executives in securities
, settlement method and setting price, etc.. Moreover, investor should consider the suitability of such investment with the investor owns investment objective and financial. 3. Risk of loss beyond initial margin