market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties

contact subject to the approval by the Office proceeding in accordance with the rule prescribed by the Office, and shall supervise such Category A investor contact to comply with the rule prescribed by 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

individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages

that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the

inconsistent with the stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication

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

following manners: (a) a spouse or a minor child of such person; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person

services suitable to each client carefully, especially with special care to the following clients: (1) any individual who is sixty years old or older; and (2) any person who has little financial knowledge

of investment in such securities; “general advice” means an investment advice given to any person without considering of investment objective, financial status or individual needs; “specific advice