investment scheme. “home regulator” means a regulator who has the authority to supervise collective investment schemes or CIS operators. “securities company” means a securities company that obtains the

any disgraceful record, and must comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with

comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on securities and exchange

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

and supervise its employees to comply with this Notification and rules set out by the derivatives broker for compliance with this Notification. Clause 9 In cases where it appears to the SEC Office that

and supervise its employees to comply with this Notification and rules set out by the derivatives broker for compliance with this Notification. Clause 9 In cases where it appears to the SEC Office that

accordance with the following rules and shall supervise that its own personnel comply with such rules as well: (1) establish a written outsourcing policy having been approved by the intermediary’s board of

accordance with the following rules and shall supervise that its own personnel comply with such rules as well: (1) establish a written outsourcing policy having been approved by the intermediary’s board of

able to efficiently supervise the conduct of its agent, the SEC Office may not allow the management company to further appoint such person as agent, and in case of not allowing, the SEC Office shall

able to efficiently supervise the conduct of its agent, the SEC Office may not allow the management company to further appoint such person as agent, and in case of not allowing, the SEC Office shall