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

: 1. linking, promoting or generating mutual benefits or benefits to the same or nearby communities; 2. generating or to generate income not less than eighty percent of the total aggregate income of all

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

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

shall monitor and supervise its personnel, who are responsible for providing investment analysis, consultation or planning to clients, to perform their duties within the specified scope as approved by the

applicant shall be deemed engagement performance and responsibilities of the audit firm; 7. I will supervise engagement performance of the applicant to ensure that he or she comply with the professional

the Office. (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on derivatives and rules issued under such laws, including rules as specified by the association

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 this notification and its