offences against property; (b) having inappropriate management or not complying with law or orders of lead regulator; (c) acting against the law or to gain an unfair advantage; (4) being a person under the
and procedures (if any) for preventing directors and executives from using inside information for personal gain, and for monitoring their securities trading especially during the month before public
that may cause a lack of independence in acting as the fund supervisor. Clause 4. Prior to the effective date of this Notification, any persons who act as a fund supervisor shall continue its operation
additional disclosure in the Annual Registration Statement. For example, the Company plans to gain a 20-percent market share in the next three years or to develop production technology to reduce production
derivatives position before the settlement date, whether due to market lack of liquidity or the derivatives exchange withholds the futures trading or due to any other reasons, the investor may lose from the
the term of office, the position of the Secretary-General shall be vacated upon: (1) death; (2) resignation; (3) [Section 22(3) was repealed by the Securities and Exchange Act (No.6) B.E. 2562] (4) lack
1.3 Gain (loss) on Securities trading 1.4 Gain (loss) on Derivatives trading 1.5 Interest and dividend 1.6 Interest on margin loans 1.7 Share of profit of subsidiaries and associates 1.8 Others incomes
the lack of responsibilities for providing services as securities registrar, the Securities and Exchange Commission may revoke the license of securities registrar, in which case the Office shall notify
payment of or pay for the underlying asset delivered or taken at the exercise price specified under the contract. If options expire worthless, the seller’s gain equals the amount of premium. Due to the fact
) Performing work in a manner that indicates a lack of professional ethics or standards as stipulated by an association under the Office’s approval; (18) Performing the management duty in a manner that indicates