Mr. Sanpapol Rattanarungroj Mr. Sanpapol Rattanarungroj , as managing director responsible for the operation of S.E.C. Auto Sales and Services PLC (SECC), failed to supervise SECC to submit the
for management of investments in derivatives; “Office” means The Office of the Securities and Exchange Commission. Clause 2. To ensure that each derivatives fund manager shall conduct its business as a
management of investments in derivatives; “Office” means The Office of the Securities and Exchange Commission. Clause 2. To ensure that each derivatives fund manager shall conduct its business as a
for management of investments in derivatives; “Office” means The Office of the Securities and Exchange Commission. Clause 2. To ensure that each derivatives fund manager shall conduct its business as a
service providers, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code of conduct
, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code of conduct specified by
of conduct specified by derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective
operational control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as
control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as well as
control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as well as