the redemption price to the client ; (4) examine and supervise the employee responsible for the said duties to provide true and accurate information to the client . Clause 18 In considering a
to efficiently supervise the conduct of its agent, the SEC Office may not allow the management company to further appoint such person as agent, and in case of not allowing, the SEC Office shall clearly
transactions of clients in writing and shall supervise the amendment of transactions not to violate or fail to comply with the procedures and methods set out. Clause 25 A securities company shall not trade
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
for the custody of client’s assets. In this matter, the securities company must strictly supervise the implementation of such guidelines. The rules or guidelines under the first paragraph must include
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
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
. Clause 8 An intermediary shall supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to
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