its business with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due
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
The derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law
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
contact subject to the approval by the Office proceeding in accordance with the rule prescribed by the Office, and shall supervise such Category A investor contact to comply with the rule prescribed by the
to efficiently supervise the conduct of its agent, the SEC Office may not allow the management company to further appoint such person as agent, and in case of not allowing, the SEC Office shall clearly
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
accordance with the following rules and shall supervise that its own personnel comply with such rules as well: (1) establish a written outsourcing policy having been approved by the intermediary’s board of
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