oversee the operation related to important matters such as an audit committee, a credit limit consideration committee and an investment committee to allow such committees to screen and give recommendations
from such client; (6) in the case of giving advice on derivatives, the derivatives broker shall give advice which is suitable to and in the best interests of each client, as well as monitor and supervise
(7) supervise, monitor, and control the activities of outsourced information system development to ensure consistency with the terms of services; (8) carry out testing of the developed information
guidelines for investors to understand and monitor future business directions of the Company; 1.1.2 Material changes and developments Give a brief account on the material changes and developments regarding the
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 the disclosure of information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary shall monitor and supervise its personnel
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
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
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
the Company or the group of companies, as specified by the Board of Directors (if any), to be used as guidelines for investors to understand and monitor future business directions of the Company. 1.2