derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law including the code

derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law including the code

by adhering to ethics and professional standards issued by the association and approved by the Office, mutatis mutandis , only the part of investment management. Clause 12. In cases where the person

, mutatis mutandis, only the part of investment management; (2) perform duties by adhering to ethics and professional standards issued by the association and approved by the Office, mutatis mutandis, only the

, mutatis mutandis, only the part of investment management; (2) perform duties by adhering to ethics and professional standards issued by the association and approved by the Office, mutatis mutandis, only the

approval if he/she              wishes to and has to file application and supporting documents in advance before the end of           approval period.      5. Post-Approval Duties         Complying with the

fails to maintain the capital in accordance with the Notification concerning Maintenance of Capital or is in the process of complying with Clause 12 (3) until the intermediary is able to maintain the

Notification concerning Maintenance of Capital or is in the process of complying with Clause 12 (3) until the intermediary is able to maintain the capital in accordance with the Notification concerning

applicant is not in breach of any condition in complying with the terms and conditions; (8) in cases where the applicant is a Thai entity, it shall comply with the additional requirements prescribed under

1/12 A foreign auditor having the characteristics and complying with the following rules shall be approved by the SEC Office to perform audit work and affix signature in giving opinions on the