and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a

securities trading of the client, and provide sufficient data or documentary evidence to ascertain a client’s financial status and debt repayment ability. In case of a retail client , the securities company

from such client; (6) in the case of giving advice on derivatives, the derivatives broker shall give advice which is suitable to and in the best interests of each client, as well as monitor and supervise

deceases, resigns or SEC has annulled the approval, or securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has

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

Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities

market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties

informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance

manager in accordance with Section 144 or Section 145 or in accordance with the provisions of other laws; (6) being a political official; (7) being a government official with responsibility to supervise

applicant shall be deemed engagement performance and responsibilities of the audit firm; 7. I will supervise engagement performance of the applicant to ensure that he or she comply with the professional