(English) ………………………………………………………… Location of head office ……………………………………………………………… …………………………………………………………………..…………………… Telephone number …………………….. Facsimile number ……………………….. Part 2: Category of an applicant
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
2022 • Etc… • Many of these entities were interconnected • Crypto assets often pledged as collateral, and when they lost value, foreclosure and defaults occurred FTX November 2022 “People wired $8
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
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Telephone (66) 2305 8000 Facsimile (66) 2305 8010 www.linklaters.com Prepared by: Wilailuk Okanurak Telephone 66 2305 8024 wilailuk.okanurak@linklaters.com Wanwisar Nakarat Telephone 66 2305 8007
appraisal in risk management shall cover all kind of potential risk occuring in the operation of business; (3) to protect against the use of inside information of units and personnel of the securities company
operation of the securities company. Risk to be taken into appraisal in risk management shall cover all kind of potential risk occuring in the operation of business; (3) to protect against the use of inside
concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the