exchange service under law of such jurisdiction and is under supervision of authority or agency having duty to supervise derivatives; (5) “foreign derivatives business operator” means juristic person
in writing and shall allocate sufficient personnel and resources for operating the work of branch office as well as arrange to have management and operational system to efficiently supervise and
market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from
exemption from the definition as DA Custodial Wallet Provider would be given to DA issuers who provide custody of self-issued DA for their clients, in line with the intent to supervise DA custodial wallet
personnel involved in the operation of the fund to ensure that they have suitable knowledge and capability for the administration and management of the fund; (2) the analysis and feasibility study on the
following matters: (1) the selection and supervision of the personnel involved in the operation of the fund to ensure that they have suitable knowledge and capability for the administration and management of
engagement performance and audit quality. For future plans, the SEC will continue to carry out the initiatives to strengthen the capability of all stakeholders. In 2020, a focus will be on proactive increase
Trade Competition Commission – a separate independent body to supervise trade competition with greater flexibility. As a provider of financial services operating under the purview of this Act, KBank
relevant entities while preserving market fairness and transparency. The Securities and Exchange Commission, Thailand is an independent government agency established to supervise and develop the Thai capital