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 may cause: (a
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
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
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
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
procurement. (In case of financial institutions, specify sources of capital and loans). (b) If the manufacturing process or treatment of raw material wastes affects the environment, clarify the Company's
procurement. (In case of financial institutions, specify financial sources and loans); (b) If the manufacturing process or treatment of raw material wastes affects the environment, clarify the Company's actions
Directors’ policy framework in this matter shall also be disclosed to reflect the Board’s determination to mitigate the negative impacts on the environment or the management of the greenhouse gas emission. If
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