office is able to supervise the operating system and the provision of services of the branch office. Clause 6. In granting permission to establish a branch office, the Office may prescribe conditions on
the law governing securities and exchange, and that its head office is able to supervise the operating system and the provision of services of the branch office. Clause 6. In granting permission to
securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has prescribed, the Office shall have the authority to waive
deceases, resigns or SEC has annulled the approval, or securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has
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
benefit of compliance with the requirements under this Notification in order to instruct appropriate and corresponding practicality. In case of having complied with such guideline, it shall be deemed that
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
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