and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By
obligations under derivatives positions held by a client; (2) profits or any other interests obtained from derivatives trading of a client; (3) warehouse receipt, bill of lading, or any other instruments
/2551 Re: Securities and Derivatives Trading for Derivatives Broker _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) as amended by the Derivatives Act (No. 2) B.E. 2551 (2008
Office of Securities and Exchange Commission No. OrThor. 6/2549 Re: Guidelines for Preparing a Risk Disclosure Statement for Futures Trading. Clause 21 of the Notification of the Office of Securities and
general public as being ready to engage as an agent in the business of trading in derivatives with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the
of the Securities and Exchange Commission No. Sor Thor. 15/2558 Re: Rules in Detail related to Proprietary Trading of Intermediaries ___________________ By virtue of Section 98(7)(b) of the Securities
value or suitability of trading or investing in securities; (4) “Category B Investor Contact” means any investor contact who is not authorized to analyze value or suitability of trading or investing in
-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
shall provide an operating system under paragraph one, such operating system shall have an approval from the Office before investing or additional investing in proprietary trading Clause 8. Management
securities underwriting. Clause 5 A securities company shall set up a work unit responsible for custody of clients’ assets which is independent from a work unit responsible for securities trading (front office