Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors
official shall be an official under the Criminal Code. Chapter 8 Sanctions, Statute of Limitation and Settlement Committee _________________ Division 1 Administrative Sanction _____________ SECTION 67 The
by CIS Operator ) [ ] 6. A document demonstrating that the investment policy and product restrictions of NRI CIS are in accordance with those specified by the Notification of the SEC Thailand relating
including the code of conduct announced by the derivatives dealer in compliance with this Notification. Chapter 2 Restrictions in Undertaking Derivatives Business Clause 6 1 In providing services as
securities certificates or issue new certificates within the time as specified in the notification of the SEC Office unless such transfer is against the law or against the restrictions on transfer of the
DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...
part; 2.2.3 Foreign investment risk (in case the issuer is a foreign company). Identify and clarify the risk characteristics under the governing regulations7 including other restrictions related to
Section 50 of the Constitution of the Kingdom of Thailand specified the restrictions shall be imposed by virtue of the law, the Office of the Securities and Exchange Commission hereby issues the following
Section 98(3) of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No.4) B.E. 2551 (2008) whose certain provisions enclose some restrictions of rights and
restrictions and other relevant matters have been already clearly specified in details of the scheme, the derivatives fund manager shall be exempted from compliance with the first paragraph if the mutual fund