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
concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no
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
the agency authorized to supervise derivatives trading as: □ being licensed to be a derivatives dealer; □ having been registered to be a derivatives dealer; □ being permitted to be a derivatives dealer
shall: (1) have personnel in an adequate number for all types of work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable
prevention of damage caused by risks arising from business undertaking to assure that there will not be any adverse effect on business undertaking of the securities company . All types of risks which may occur
) …….. ………… ……………….. …………….. ……….. …….. ………… ……………….. …………….. ……….. …….. ………… ……………….. …………….. ……….. The company has already examined the curriculum vitae of the persons above, O thereby certifies that the persons applied for approval to be executives possess all qualifications without any prohibited
11. The fund shall have a fund committee which consists of representatives elected by the employees and those appointed by the employer. The fund committee shall have the duty to supervise the overall
person with regard to the purpose of investment, financial position and desire of such person; “related company” means (1) a company holding shares of twenty percent or more of all voting right shares of
operational control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as