the supervision of the State or the agency authorized to supervise derivatives trading as: □ being licensed to be a derivatives dealer; □ having been registered to be a derivatives dealer; □ being
Entities in order to Ensure Confidence of the Investing Public ■ Supervision of Market Intermediaries ■ Inspection of Listed Companies and Market Intermediaries ■ Regulation and Law Enforcement G OA L 4
accordance with the ones established by the IFAC; 3 (4) “auditing advisory committee” means a body of persons appointed by the SEC Office to give advice and recommendations regarding supervision of auditors in
governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of legally proceeding against or being punished
market voluntarily entered the Financial Sector Assessment Program co-organized by the International Monetary Fund and the World Bank. The SEC performed well in the area of market supervision with a
, Section 36, Section 41, Section 43, Section 44, Section 45 and Section 64 of the Constitution of the Kingdom of Thailand so permit by virtue of law, as well as Clause 16(6) of the Ministerial Regulation
, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of
prohibited characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited
person” means deputy manager, assistant manager, head of department, [and] branch manager, including a person occupies in a position being similar to those positions, by whatever name called, who is
) B. Direct&Supervise&Review B Direction, supervision and review responsibilities: Firm's Reference /Guidance Notes Description 1 Has the firm established policies and procedures for direction and