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
Exchange Act (No. 2) B.E. 2542 (1999) , the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 In this Notification: The terms, “ institutional investor ,” “ ultra-high net
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
in connection with any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and (10), shall come into force as from 1 January 2017; and (4
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
and Exchange Commission No. Kor Jor. 4/2560 Re: Determination of the Definitions of Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor ___________________________ By
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
and criticality such as the access control, encrypting sensitive information or information required a high level of accuracy; 2. In handling media under Clause 17, the intermediary shall take
intermediary . “institutional investor” 6 means an institutional investor under the Notification of the Securities and Exchange Commission Re: Determination of Definitions of Institutional Investor, Ultra High