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
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
Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well as the
and skills who is independent from the persons who formulate or administer the plan; (3) report the evaluation results under subclause (2) to the board of directors and the SEC Office within ninety days
formulate or administer the plan; (3) report the evaluation results under subclause (2) to the board of directors and the SEC Office within ninety days from the day the testing is completed. Clause 36 In
) evaluated by a person with required knowledge and skills who is independent from the persons who formulate or administer the plan; (3) report the evaluation results under subclause (2) to the board of
risk appetites. Set risk limits for the significant aspects of the various risks. Formulate strategy on the organization and resources to be used for risk management operations, in line with risk
of the various risks. Formulate the strategy on the organization and resources to be used for the risk management operation, in line with the risk management policy. This strategy must enable the
overall risk management of the Financial Conglomerate Establish risk management policies and risk appetites. Set risk limits for the significant aspects of the various risks. Formulate strategy on the