any circumstance that may materially affect the business operation; (2) specify supportive measures to ensure business continuity in the event that the service provider fails to proceed with the
specified in the MMOU, and such regulatory agency has the legal power to render the assistance thereof to the SEC Office in accordance with the MOU. In this regard, the protection of interest of investors
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
have the power to specify in its notification the rules with which derivatives business operators shall comply.
Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and
range of investors; (4) having financial readiness without any reasonable ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5
, business manner or circumstance, and services providing; (3) provides quality services [to the client ] and treats the client fairly and equally by taking account of types, nature and conditions of the
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
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.