securities company with an acceptable standard for Operational Control and Security of the information technology of a securities company. The essential of this guideline is compose of: 1. Policy of Security

who have suitable knowledge and ability for the duty; (2) Disclosure of information that is necessary for making investment decision to the client including investment risk, fees or expenses, conflict

management company must disclose or cause to be disclosed adequately such information necessary for making a decision to invest in investment units or to enter into a private fund management contract with the

are comparable to this Notification. Chapter 1 Risk Management System ______________________________ Clause 4. Securities company must have in place written policies and procedures concerning risk

that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the

securities business; (3) a payment for subscription of securities which a securities company receives from underwriting. Clause 5. A securities company must establish a unit responsible for the custody of

Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister

Fund bond; (d) Other liquid asset specified by the Notification of the Office. In this regard, liquid assets as in (a) (b) (c) and (d) must be assets without encumbrance. “Office” means Office of the

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate

that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to