statement for futures trading that contain the minimum aspect of disclosure prescribed by the SEC Office. Hence, for the purpose of providing the derivatives broker with guideline for preparing a risk
permission shall be in accordance with rules, conditions and procedures prescribed by the Securities and Exchange Commission, thus the Commission has issued the Notification of the Securities and Exchange
the protection and maintenance of the best interest of investors under acceptable risk exposure. Therefore, in the supervision of the business of mutual fund or private fund management, it is necessary
; whereas Section 60 of the Securities and Exchange Act (No.4) B.E. 2551 specifies the duty of the Securities and Exchange Commission as the Capital Market Supervisory Board, the SEC hence sets out the
relationship with the client is terminated. In this regard, the SEC Office views that the Notification No. SorThor/Nor/Yor/Khor. 3/2550 contains details that overlap with the rules issued by the AMLO and thus
possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.
Section 43 of the Constitutions of the Kingdom of Thailand so permit by virtue of law; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative
Exchange Commission can manage risk or make arbitrage with trading of securities or derivatives relating to gold in foreign countries, it is therefore necessary to issue this Notification in order to monitor
should be verified; 1.2 Roles and responsibilities of high-level management Objective The management company is a vehicle which raises funds from retail investor to invest in capital market, therefore it
instruments issued by PTT Public Company Limited . In order to protect the investors’ interest and legitimate right and ensure that they are treated fairly, it is therefore necessary to issue this Notification.