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
ดังกล่าว (restricted list) โดยควรกำหนดหลักเกณฑ์เกี่ยวกับการขึ้นบัญชีและการเพิกถอนรายชื่อหลักทรัพย์ จากบัญชีดังกล่าว รวมทั้งหลักเกณฑ์การติดตามตรวจสอบการทำธุรกรรมที่เกี่ยวข้องกับหลักทรัพย์ ในบัญชี watch
enable assignment of assess rights; (b) the allocation and use of privileged access rights should be restricted and controlled; (c) the allocation of passwords should be controlled through a formal
Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities
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
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
exceeds the specified rate in Clause 26 no longer than one year from the date of receipt; (b) during the period of one year from the date of receipt, the underwriter shall be restricted from exercising its
informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance
manager in accordance with Section 144 or Section 145 or in accordance with the provisions of other laws; (6) being a political official; (7) being a government official with responsibility to supervise
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