said person; (1) gives information, cooperates or giving assistance by any means to the SEC, the Capital Market Supervisory Board or the Office in cases where the officer, the employee or such other
DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Sec...
DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...
on prevention of conflicts of interest (“COI”) in managing a mutual fund as well as to monitor and oversee acts that may cause COI, unfair characteristic or cause unitholders to lose the interest that
, appointment, dismissal and discipline for personnel and employees of the SEC Office, the determination of salary and other remuneration as well as welfare and assistance; (4/1) 4 the prescription of a guideline
of the SEC Office, the determination of salary and other remuneration as well as welfare and assistance; (4/1)4 the prescription of a guideline for consideration of any potential issues which may arise
a mutual fund and shall monitor and oversee acts that may cause a conflict of interest to the unitholders and any acts that may have an unfair characteristic toward the unitholders or may cause the
auditing by the auditor approved by the SEC Office; (5) know-your-client measures, client due diligence process and measures against financial assistance to terrorists or money laundering. Section 31. In the
by the SEC Office; (5) know-your-client measures, client due diligence process and measures against financial assistance to terrorists or money laundering. Section 31. In the case where a digital asset
provide reasonable assistance. SECTION 65 In the execution of his duties, a competent official shall present his identification card to the person involved. The identification card of the competent official