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

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

translation is strictly for reference. Please also note that the translation has not been subjected to an official review by the SEC Office, which can neither undertake any responsibility for its accuracy nor

the translation has not been subjected to an official review by the SEC Office, which can neither undertake any responsibility for its accuracy nor be held liable for any loss or damages arising from or

• 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

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

any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange

company. DIVISION 2 DUTY AND RESPONSIBILITY OF DIRECTOR AND EXECUTIVE SECTION 89/7 In conducting the business of the company, a director and an executive shall perform his duty with responsibility, due care

transparent. Especially where the agent is charged with a fiduciary duty, conflicts must be avoided and if unavoidable must be handled so that clearly all actions are taken in the client(s) interests. All

operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities