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) negative image to the
to remain fit 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
able 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
able 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
, but there is a certain fact appeared to the SEC Office which is reasonably suspicious that the management company may not be able to efficiently supervise the conduct of its agent, the SEC Office may
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
operations, and handle complaints. Meanwhile, the Department of Insurance will supervise the registration and performance of selling agents to ensure that they comply with the same standards of best practices
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
featured stylized flames in red and white. (H including handle 18 cm) S h a p i n g t h e T h a i C a p i ta l M a r k e t Securities and Exchange Commission, Thailand 04 Message from the Chairman 06 Message
) who is a juristic person, derivatives clearing houses shall also supervise and monitor potential risks of these members. Clause 25 In cases where a derivatives clearing house provides tiered