Information on the laws and regulations relevant to performing duty as Recognised Representative in ACMF member countries Professional Mobility ACMF Pass framework Products : shares, bonds, units of
the derivatives business operator itself, including a person who is a member of a committee which performs the duty of derivatives business management such as risk management committee, investment
and Other Prohibited Characteristics of Directors and Executives of Securities Companies (No.2) dated 1 February 2010. (Translation) 2 the duty of securities business management such as a risk
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
• Key contribution: Only one other laboratories. Not all financial institutions can capture regulators. Regulator roles different. IMPORTANCE OF INVESTMENT ADVISERS IN USA FIDUCIARY DUTY • In USA
a manager of the branch office or a person responsible for the operation of a branch office. “fund manager” means a mutual fund manager or a private fund manager who performs the duty of making
operation of a branch office; “fund manager” means a mutual fund manager or a private fund manager who performs the duty of making decisions on investment in or disposing of securities or any other asset
rights. In order to avoid over-regulation, unenforceable laws, and unintended consequences that may impede or distort business dynamics, policy measures should be designed with a view to their overall
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