DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning
or promissory notes shall not have any restriction to redeem before date of maturity. Clause 8. Derivatives broker shall monitor and supervise to ensure that its personnel perform in accordance with
redeem before date of maturity. Clause 8. Derivatives broker shall monitor and supervise to ensure that its personnel perform in accordance with this notification and its guidelines specified for
the Office. (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on derivatives and rules issued under such laws, including rules as specified by the association
individuals to act as the person in charge of monitoring. With the person in question is not properly qualified in audit field and does not use ample time to effectively perform monitoring. The guideline, the
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
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
appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance