an approval from the Office. Clause 6. The derivatives broker with the following qualifications are allowed to trade derivatives contract according to Clause 5: (1) having sufficient personnel
sufficient personnel responsible for making decision on derivatives trading and managing risks of derivatives trading, and such personnel shall have knowledge, understanding and experience that benefit
derivatives contract according to Clause 5: (1) having sufficient personnel responsible for making decision on derivatives trading and managing risks of derivatives trading, and such personnel shall have
control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code
involved; Providing agencies with sufficient powers to regulate and monitor market behavior, * The participating Asian economies include: Bangladesh, China, Hong Kong China, India, Indonesia, Korea
professional training courses on a continuing basis, as stated in the SEC-approved curriculum of the Valuer Association of Thailand, to ensure sufficient self-development and knowledge improvement
information security which contains at least the following measures: (1) in case of teleworking or using mobile devices, the security measures shall be properly sufficient for confidential or critical
Exchange Commission No. SorThor. 49/2549 Re: Rules on Exemption from Appointment of Independent Director of Securities Companies -------------------------------- By virtue of (1) The second paragraph of