) who is a juristic person, derivatives clearing houses shall also supervise and monitor potential risks of these members. Clause 25 In cases where a derivatives clearing house provides tiered
role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a) negative image to the
to remain fit and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which
representatives of companies, banks, and market participants. Behdad Nowroozi, James Seward, and Alex Berg provided advice and comments. Findings of this ROSC are based on the Detailed Country Assessment (DCA
exchange service under law of such jurisdiction and is under supervision of authority or agency having duty to supervise derivatives; (5) “foreign derivatives business operator” means juristic person
and in the best interests of each client, as well as monitor and supervise to ensure that any preparation and giving of advice adheres to the generally- accepted principles and that such advice is
services to an indirect client (tiered participant) who is a juristic person, securities clearing houses and central securities depositories shall also supervise and monitor potential risks of these members
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
or promissory notes shall not have any restriction to redeem before date of maturity. Clause 8. Derivatives broker shall monitor and supervise to ensure that its personnel perform in accordance with