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
Identify the group of key stakeholders, both internal and external, with a relationship with the business value chain, by summarizing the expectations of the stakeholders on the business operation of the
Section 19 Securities and Exchange Act B.E. 2535 Section 19. The Office has the power and duty to perform any act necessary for the implementation of the SEC’s resolutions and to perform any other
concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the
according to the definition by the National Institute of Standards and Technology (NIST); “ outsourcee ” means the external parties engaged by the intermediary in the operation on an ongoing basis and must
3 years during a 5-year period prior to application submission, please specify details of the company where the applicant has performed duty as an audit supervisor or a person who reviews audit
://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:02011D0030-20130701 HYPERLINK "https://www.imf.org/external/np/exr/facts/fsap.htm" https://www.imf.org/external/np/exr/facts/fsap.htm
unit value, except where the incorrect unit value is caused by external factors which are uncontrollable, e.g., the price of securities based on the last market price by the Stock Exchange of Thailand or
has the duty to disclose accurate and sufficient information in support of investors' decision making. Part 2 Management and Corporate Governance 7. Securities and shareholders 7.1 Amounts of registered
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