and 2 attached herewith. The OFAR system will be available for a test run during 1-30 December 2016. Thereafter, intermediaries will be required to submit their daily status report via OFAR, starting
where any independent director of a securities company passes away or resigns or his/her approval is revoked by the Office, the securities company shall appoint a new independent director within 90 days
of Capital and obtains approval from the SEC to resume the operation of such business as usual; (2) give a written notice of the suspension of business under (1) to the clients without delay; (3) take
ทำ COI/ ต้องจัดการ COIข้อ 15-16 นิยาม COI ข้อ 17-18 ต้องมีนโยบายจาก BoD และมีมาตรการและระบบงานป้องกันและจัดการ COI ข้อ 19-21 ห้าม front run/ inside info/ inside trade ข้อ 22-24 การจัดการ COI ต้อง best
or the fund manager’s office to examine the business, assets and liabilities of the fund during usual working hours: (2) to order the fund committee members, the fund manager or the fund’s officers who
) having a clear action plan which demonstrates determination for providing services of trading investment units in the long run; (6) having sufficient readiness for providing services and ensuring that
) having a clear action plan which demonstrates determination for providing services of trading investment units in the long run; (6) having sufficient readiness for providing services and ensuring that
( ) แตกย่อยคำสั่งซื้อขาย การ front run ลูกค้า การ churning ส่วนที่ 6 : ผลการตรวจสอบของ compliance และ internal audit ให้แสดงว่าในรอบ 1 ปีที่ผ่านมา พบประเด็นหรือข้อสังเกตจากการตรวจสอบเกี่ยวกับการลงทุน ในหลัก
not exceeding three years or a fine not exceeding three hundred thousand baht, or both. SECTION 83 Any person who damages, destroys, conceals, takes away or loses, or renders useless any property or
DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...