the Constitution of the Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission performs duty as the Capital Market Supervisory Board under Section 60 of the Securities
the derivatives business operator itself, including a person who is a member of a committee which performs the duty of derivatives business management such as risk management committee, investment
and APEC Asia Region Funds Passport shall take effect, mutatis mutandis, to the extent that they are not inconsistent with or contrary to the provisions prescribed herein. Chapter 2 Application for
and Other Prohibited Characteristics of Directors and Executives of Securities Companies (No.2) dated 1 February 2010. (Translation) 2 the duty of securities business management such as a risk
Sukuk by a Trustee Who Is a Foreign Business and Disclosure of Information; (4) financial statements which a foreign business has the duty to prepare and submit to the SEC Office under Section 56. Clause
securities brokerage business undertaken by a securities company, the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities
sale of newly issued securities; (2) an issuing company which has the duty to prepare and submit financial statements and reports on its financial position and operating results to the SEC Office; (3) an
or director of derivatives exchange, or derivatives clearing house; and (b) the action taken according to (a) due to the performance of duty as a staff holding a position that affects 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