Operational Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well
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
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
the reporting plan specified in Paragraph 1(2)(d) of Clause 3; (6) supervising the operation to ensure compliance with the provisions of this Notification, including the governing laws or associated
1(2)(d) of Clause 3; (6) supervising the operation to ensure compliance with the provisions of this Notification, including the governing laws or associated regulations. Clause 5 An approved person
Authority, United Arab Emirates.
, addressing major offenses within the SEC's authority. The event was held at Mövenpick Siam Na Jomtien Pattaya Hotel from 13-15 November 2023.
), the Accounting and Corporate Regulatory Authority of Singapore ( ACRA), and the SEC Thailand . Cooperation with Foreign Regulators The SEC places a strategic focus on proactive alliance with
Office immediately in case an oversea branch office was sanctioned or given an order to act or omit to act, by foreign capital market regulator or foreign authority of the country where such branch office
authority of the country where such branch office is located, which materially impacts to the operation of such branch. Clause 12 An intermediary shall appoint a personnel, approved by the SEC Office under in