appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.

appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.

derivatives trading positions held by a client; (b) profit or any other interests resulted from derivatives transaction of a client; (c) warehouse receipt, bill of lading, or any other instruments which

Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the

Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in

to Appoint a Personnel to be a Director or a General Manager of the Securities Business B.E. 2553 dated 1 February B.E. 2553 ; (2) Notification of the Office of the Securities and Exchange Commission

profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.

Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form

the management of investments under a mutual fund project by issuing investment units of each project for sale to the public and bringing proceeds thereform to invest in, or procure for profit from

customer; “Office” means the Office of the Securities and Exchange Commission. Clause 2 . A management company shall appoint a natural person or a juristic person as its representative pursuant to the