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
) Staff dealing as specified in Part 4; Management company shall have an operating system sufficiently and effectively in order to protect any acts according to paragraph one which may create conflict of
Part 3; (4) Staff dealing as specified in Part 4; Management company shall have an operating system sufficiently and effectively in order to protect any acts according to paragraph one which may create
company’s shares of the same class as the newly issued underlying shares on the exercise date and the exercise price; (4) measures to protect warrant holders which at least impose obligations as follows: (a
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
Being REIT Manager __________________ Division 1 Applying for obtaining an approval _____________ Clause 4 The following companies can apply for obtaining an approval of being a REIT manager [from the SEC
program and offering of new shares to the public by the private sector. Mechanism for investors to protect themselves were also much enhanced with the introduction of the dispute settlement through
protect the interest of investors with regards to the information presented to them, the Office may order the securities company under Clause 14 to obtain prior approval for each advertisement. In applying
refrain from doing any acts within a specified period of time to ensure that the acknowledgement of information is accurate and not misleading. Clause 15. To protect the interest of investors with regards
) any other case which is necessary and appropriate by obtaining a waiver from the SEC Office. Clause 12 A notice calling a shareholders’ meeting as prescribed in Clause 11(2) shall be specified at least