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...
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
Section 89/20, and monitor safekeeping of such documents or evidence for its accuracy and completion as well as availability for inspection for the period not less than five years from the date of producing
-General shall have authority over the officers and employees and shall be responsible for the operation of the SEC Office. In the operation of the SEC Office, the Secretary-General shall be responsible to
the Secretary-General, the prohibition in accordance with Section 22/1 shall be taken into consideration. SECTION 23. The Secretary-General shall have authority over the officers and employees and shall
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
), (5) or (6). In the ordering of the administrative sanctions under Section 67, the competent authority shall have the power to impose one or several sanctions and shall also have the power to order the
have the power to impose administrative sanctions under Section 67(1), (2), (3), (4), (5) or (6). In the ordering of the administrative sanctions under Section 67, the competent authority shall have the
(6). In the ordering of the administrative sanctions under Section 67, the competent authority shall have the power to impose one or several sanctions and shall also have the power to order the