Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
are reliably and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct
derivatives broker in the first paragraph, derivatives broker shall trade in derivatives only with institutional investor counter party. Clause 4. The provision of Clause 12 only with respect to an arrangement
to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the
, the Ministry of Commerce; (3) the updated regulations of the founding securities companies certified by the Office of Partnership Registration, the Ministry of Commerce. Clause 2 Any trade association
Re: Approval for Investor Contacts and Standards of Conduct dated 3 December 2004; “Authorized officer” means any person who is registered by the Stock Exchange as agent of securities company to trade
: ประกาศ COI และประกาศเกี่ยวกับการลงทุน เพื่อเป็นทรัพย์สินของผู้ประกอบธุรกิจ: ประกาศ Prop Trade ) ซึ่งได้มีการพิจารณาปรับปรุงแก้ไข ร่างประกาศในประเด็นอื่น ๆ เพิ่มเติมเพื่อให้มีความเหมาะสมยิ่งขึ้นด้วย
counter party in a derivatives contract with any person who intends to trade in derivatives, by entering or offering to enter into such contract, and has been licensed or registered under this Act
. Clause 3. In order to ensure that representatives shall render services with honesty and due care for the best interest of investors as well as provide appropriate and adequate information in line with
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...