institution that already operates under the supervision of other regulatory authorities prior to obtaining a derivatives business license. (b) Change of position of the person who has already been approved by
) Evidence that foreign ETF and foreign ETF operator are subject to supervision of foreign regulator who is a member of the International Organization of Securities Commissions (IOSCO); (5) Certification that
from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for promoting and supervising the
to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for promoting and
, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function provides services for other persons or for the benefit of the
responsible for services relating to derivatives contract, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function
PowerPoint Presentation Summary of The Securities and Exchange Act (No. 6) B.E. 2562 The SEA (No. 6) consists of 6 topics 2/10 Supervision of securities business Supervision of mutual fund management
behavior that, if considered on a reasonable ground, indicates failure to discharge properly the duty to supervise a juristic person or a company under its management, or any personnel under its supervision
. Duangjai Dhanasthitya Director Broker-Dealer Supervision Department Mrs. Paralee Sukonthaman Director Corporate Affairs Department Mrs. Nataya Niyamanusorn Director Corporate Finance Department Mr. Prakid
to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for promoting and