compliance unit in which acceptable and reliable standards are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker. Clause 8 The derivatives broker shall put in
select from. In so doing, the SEC Board would take into account the candidates’ possession of essential knowledge and experiences for managing the SET operation to ensure the SET stability, credibility and
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or
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