, from the board of directors (including the investment committee) to the management and staff of relevant business units; Principle 2: Institutional investors should prevent and manage conflicts of
regulator to be able to manage exposed risks promptly. In this regard, the SEC will draft a set of common rules to accommodate the offering of new financial products to correspond with market needs and
securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has prescribed, the Office shall have the authority to waive
deceases, resigns or SEC has annulled the approval, or securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has
no Form as of 25 July 2006 6.7 Being a government official with the duties to supervise securities companies, an officer of the Bank of Thailand or of the Office: O yes O such case has been granted
under the provisions of other laws: O yes O no 6.6 Being a political official: O yes O no Form as of 25 July 2006 (Translation) 6.7 Being a government official with the duties to supervise securities
The derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law
derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law including the code