operational audit; (2) Arrange to have personnel perform duty as investment manager or to solicit investors, with prepared investment plans, to enter into a contract with derivatives fund manager. Any person

DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning

same standard, the Office lays down a guideline for the management company to arrange to have operating systems for appropriate management of fund. Where the management company has arranged to have an

conditions as prescribed in Division 4 of Chapter 4 or the action having been done as a duty by law; (6) avoids receiving or rewarding remunerations or any other benefits, whether in form of cash, things or

Section 19 Securities and Exchange Act B.E. 2535 Section 19. The Office has the power and duty to perform any act necessary for the implementation of the SEC’s resolutions and to perform any other

of Chapter 4 or the action having been done as a duty by law; (6) avoids receiving or rewarding remunerations or any other benefits, whether in form of cash, things or services, more than those should

3 years during a 5-year period prior to application submission, please specify details of the company where the applicant has performed duty as an audit supervisor or a person who reviews audit

Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities

Thai or foreign laws; (4) being a person subject to a suspicious ground of being arranged for the person with the characteristics under (1)(2) or (3) to avoid compliance with the regulations for

that the operation of the securities company follows laws on securities and exchange and notifications issued by virtue of such laws. In performing duty in supervising the securities company under the