business; (6) order any persons who have known any related actions or facts and may be useful in the execution of the duties of the competent official to testify, deliver, or present accounts, documents
appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.
relating to the management of the fund. Section 31. 2 In carrying out his duties, the competent official shall present his identity card to the persons concerned. The identity card of the competent official
DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
at least of the following: □ (1) Number of employees; □ (2) The qualifications to prove that personnel is knowledgeable, competent and experienced suitable for the assigned task and such personnel
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His
market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties
branch office, comprising at least an efficient system for operational management, compliance management, information management and preparation of competent personnel. 4.4 Having the result of the latest