supervision of policies of the applicant; (b) work related to control, supervision and management of business units concerning investment advice, investment planning, analysis of investment or products in the
management, designation, control, and supervision of policies of an applicant ; (b) duties concerning control, supervision, and administration of business units: investment consultation, investment planning
intermediary ; “ executive ” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
appear that the securities company being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work
being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work operation, unless obtain a waiver
, and investment supervision and control system of the investment advisory company, persons with power of management and advisors; (2) providing a compliance supervisor of investment advisory company
fourteen days after the date of such appointment or such change. Chapter 2 Management of the Fund _______________________ Section 12. 2 The Minister shall have the powers and duties to supervise and control
this Act. Such notifications shall come into force upon publication in the Government Gazette. 2 indicating amendments or additions by the Derivatives Act (No.2) B.E. 2551 5 CHAPTER 1 SUPERVISION OF
officials to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette. CHAPTER 1 SUPERVISION OF SECURITIES AND EXCHANGE
control the staff under their supervision to comply with the policy and guideline; (3) Prescribe the guideline for course of actions where there is a breach of the guideline. The course of action should be