duties of the Board of Directors to ensure control, oversight and monitoring of its performance with transparency and efficiency. Specify also the roles and duties of chairman and manager or the person

related party transactions 33 Part 3: Financial Statements 36 Part 4: Certification of Information 37 Attachments: Attachment 1: Details of directors, executives, controlling persons, the person assigned to

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

. (Translation) -3- “general advice”5 means an investment advice given to any person without considering of investment objective, financial status or individual needs; “specific advice”6 means an investment advice

without considering of investment objective, financial status or individual needs; “specific advice”6 means an investment advice given to any person that suitable to investment objective, financial status

place before the license holder is allowed to commence business operation which will be supervised on a continuing basis. This is to ensure that business operators are able to comply with relevant

providing services under Paragraph 1, the derivatives dealer shall ensure that a chief executive officer or a person assigned by the client has already granted consent before the client engages in derivatives

services under Paragraph 1, the derivatives dealer shall ensure that a chief executive officer or a person assigned by the client has already granted consent before the client engages in derivatives contract

services under Paragraph 1, the derivatives dealer shall ensure that a chief executive officer or a person assigned by the client has already granted consent before the client engages in derivatives contract

assets in accordance with the Derivatives Act B.E. 2546 (2003) to ensure clearer protection of customer assets. The main focuses of the proposed regulations are as follows:                 1. Where a