public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following information: (1) list of name of persons who

operational control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as

the contract’s value, a relatively small movement of the market can lead to either large losses or gains within a short period of time. The Client may sustain losses significantly beyond the amount of

Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.

, which is a securities company under the law on securities and exchange, with no responsibility to maintain its net liquid capital adequacy, such person shall have liquid assets not less than one hundred

organizer to send the participants’ information to the database center via the electronic system to facilitate access of information of the Contacts. 2. Further education The Contacts who have passed the

the performance of derivatives contract when a derivative position is initiated. “Maintenance margin” means the minimum amount of asset a customer must maintain as long as the derivatives position is

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

units and that the unitholders shall sustain the least possible impact upon the redemption of investment units of the open-end fund, the management company shall require such open-end fund to maintain its

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