DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning
Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities
and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By
market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties
ประกัน การคำนวณ Excess Equity การบังคับขาย เป็นต้น (2) ต้องไม่ละเลยการตรวจสอบดูแลตามสมควร (fail to supervise) สำหรับการปฏิบัติหน้าที่ของผู้บริหาร ผู้จัดการกองทุน และกรรมการในคณะกรรมการลงทุนของกองทุน
informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance
manager in accordance with Section 144 or Section 145 or in accordance with the provisions of other laws; (6) being a political official; (7) being a government official with responsibility to supervise
ยืมคงค้าง (margin loan) 5. ยอดรวมมูลค่าหลักทรัพย์ให้ยืม 6. ยอดสุทธิ free credit balance 7. ยอดรวม credit line ทั้งหมด 8. ยอดรวมทรัพย์สินส่วนเกิน (excess equity) ข้อ 2 สถานะบัญชีมาร์จิ้นตามเกณฑ์
........ Year ............. Year ............. Year ............ Total assets Total liabilities Shareholders’ equity Total income Cost Net profits Earnings per share (EPS) Debt/equity ratio (D/E ratio) Return on
offering1. In this regard, the Company shall disclose the following information: (1) Spending of the money obtained from each offering of equity or debt securities2. Spending Objectives Amount of Spent Money