securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act

. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees

The SEC shall have the power and duty to formulate policies to promote, develop and supervise trust for transactions in the capital market. Such power and duty shall include: (1) the issuance of rules

, derivatives exchange, derivatives clearing house, regulatory association of derivatives business operators and prevention of unfair derivatives trading practices. Such power and duty shall include: (1) the

, issue or offer of securities for sale to the public, acquisition of securities for business takeovers, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall

within the period. Remarks : Persons or businesses related to the auditor and the audit firm include: (a) spouse and child dependent on or under the care of the auditor; (b) business with power of control

category of securities brokerage, securities dealing, investment advisory services, securities underwriting, but shall not include a financial institution under other law and later obtain a license to

. In this Notification, “Derivatives broker” means any company licensed to undertake derivatives business in the category of derivatives broker, but shall not include a financial institution under other

experience and authority? 3 Does the monitoring process required those performing the engagement or the engagement quality control review are not involved in inspecting the engagements? 4 Does the firm have