Microsoft Word - hearing group limit _2_.docx เอกสารรับฟงความคิดเห็น เร่ือง การกําหนดเรื่อง sector fund และ group limit สํานักงานคณะกรรมการกํากับหลักทรัพยและตลาดหลักทรัพย (http://www.sec.or.th
Classification : ใชภ้ายใน (Internal) Table of Contents Page Part 1: Business Operation and Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business
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
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
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 guidelines specified for
development by enhancing the performance of companies and increasing their access to outside capital. The OECD Principles of Corporate Governance provide the framework for the work of the World Bank Group in
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