)2 where the customer asset is cash, the derivatives business operator may use such cash to seek other benefit rather than the purpose specified in subsection (1), provided that the derivatives

a reasonable and necessary ground and that such securities trading is without the intention to seek benefits in the manner of exploiting the clients, or shall be able to demonstrate that there is a

system for retain documents relating to payment to the fund, trade date, and payment out of the fund to the member that is easy to search and secure from unrelated persons and having control on correction

executive. Clause 7. Unless otherwise specified in Clause 9, the derivatives broker intends to seek an approval for derivatives trading according to Clause 5 shall submit the application for approval to the

protect the customers’ optimum benefit, on the basis of integrity, prudence and due care. Clause 11. To ensure that the management company shall carefully invest or seek benefit for a fund from securities

appropriate. Clause 15. In cases where several claimants jointly file the dispute under Clause 8 and seek compensation collectively exceeding one million baht, the claimants may indicate their intention to

consent under the first paragraph of Clause 13 or the first paragraph of Clause 13/1, the private fund management company may seek a general consent from the client or the provident fund committee in

and clients with similar investment characteristics, etc. Clause7 A private fund management company may seek a loan or create any obligation on behalf of a private fund only in the following manners: (1

additional documents and evidence within the period specified by the Office. The Office shall deem that the applicant no longer wishes to seek an approval to become a fund manager in case where: (1) the

. Clause 14 A securities company shall require that any investor contact who wishes to give advice or conduct analysis of securities investment through media seek a prior approval from the securities company