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
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
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
issues which many arise from the enforcement of this Act. SECTION 10. In cases where it is necessary to maintain economic stability or protect the public interest or investors, the SEC shall have the power
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
amendment to a trust instrument shall be made as provided by its terms and conditions. In absence of such terms and conditions, the beneficiary and the trustee may mutually agree to amend the trust instrument
), or international standards issued by the International Federation of Accountants (IFAC) in case the FAP has yet to issue or amend its standards to be in line with such international standards
readiness of personnel, and already prepared at least the following operating systems: (1) a security system to protect clients’ information, particularly their trading information, which restricts access to
) ordering the intermediary , who has breached or failed to comply with this Notification or the SEC Office’s Notifications issued by virtue of this Notification, to [i] amend or refrain to act or [ii] act any
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.