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 in
readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in accordance with laws, regulations
are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of investors’ interest as well
management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of investors’ interest
demonstrate the document submitted to the Bank of Thailand relating to protection system and measure on risk control and management, operational management and internal control system. (Translation) Part II
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
; (d) non-public information protection system between the agent and its personnel; (e) supervisory system for making personnel to complete their functions in accordance with the law on securities and
; (d) non-public information protection system between the agent and its personnel; (e) supervisory system for making personnel to complete their functions in accordance with the law on securities and
system for investors’ information in order to prevent unrelated and unauthorized persons from accessing or amending information; (d) non-public information protection system between the agent and its
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