arrange the Category A investor contact subject to the approval by the Office proceeding in accordance with the rule prescribed by the Office, and shall supervise such Category A investor contact to comply

accordance with the following rules and shall supervise that its own personnel comply with such rules as well: (1) establish a written outsourcing policy having been approved by the intermediary’s board of

accordance with the following rules and shall supervise that its own personnel comply with such rules as well: (1) establish a written outsourcing policy having been approved by the intermediary’s board of

accordance with the following rules and shall supervise that its own personnel comply with such rules as well: (1) establish a written outsourcing policy having been approved by the intermediary’s board of

supervise and ensure fair treatment for retail and SME customers will pose a heightened challenge to banking performance. To cope with these issues, commercial banks may have to fine-tune their strategies

to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the

company to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the

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

or complex characteristics issued and offered for sale in an ASEAN country. “agricultural commodity trading management official”2 means a person assigned by derivatives investment manager to supervise

ประกัน การคำนวณ Excess Equity การบังคับขาย เป็นต้น (2) ต้องไม่ละเลยการตรวจสอบดูแลตามสมควร (fail to supervise) สำหรับการปฏิบัติหน้าที่ของผู้บริหาร ผู้จัดการกองทุน และกรรมการในคณะกรรมการลงทุนของกองทุน