director; (2) Being able to demonstrate that the supervisor has effective system for supervision and monitoring of the securities company at the management level in matters stipulated in sub-paragraph (1) so

company. Clause 2. A securities company may appoint or allow another securities company’s executive to be or perform duty as its executive or advisor upon being granted approval from the Office on condition

” means a manager of the branch office or a person responsible for the operation of a branch office; “ fund manager ” means a mutual fund manager or a private fund manager who performs the duty of making

the relevant rules, and the intermediary shall take the following acts at a minimum: (1) inform the foreign personnel of the scope of performance of duty; (2) ensure that the giving of information or

documents stating whether or not the infrastructure business entering into transactions with the fund has the duty to comply with the Law on the Private Investment in State Undertakings . If the

have duty to file the reports under (2) or (3) with the Office shall file such reports even though there is no transaction during such period. Clause 3/1 . In case where securities companies wish to file

person who intends to perform duty as investor contact specifically in foreign countries shall be deemed to be an investor contact approved by the Office if such person can operate as investor contact

where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an effective operating system to protect such investment or entry into a

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

of duty performance to seek wrongful gains; (3) requiring the employees to notify the intermediary in the case where the employees and their connected persons have an account for trading capital market