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
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
an operating system sufficiently and effectively in order to protect any acts according to paragraph one which may create conflict of interest to the fund, provided that, in case of (1) shall apply as
disposition of assets of each private fund; (e) System for monitoring and tracking benefits arisen from private fund asset; (f) System to prevent conflict of interest and protect confidential information of
, following the Office’s guideline which will be notified in advance. Clause 11. The advertisement shall not contain the followings: (1) information that is false, exaggerating or misleading; (2) information
any other benefits are appropriate and fair, following the Office’s guideline which will be notified in advance. Clause 7. In case the advertisement contains a statement that is partially copied or
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 (Chinese wall). By at
: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.
instruments issued by PTT Public Company Limited . In order to protect the investors’ interest and legitimate right and ensure that they are treated fairly, it is therefore necessary to issue this Notification.
comply with the fund project and to protect the interest of the unitholders. Clause 7 The SEC Office may prescribe a guideline in detail for the purpose of compliance with the rules in this Notification