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 in
readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in accordance with laws, regulations
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
management that may be a business competition with the REIT’s real estate. Moreover, explain how and clarify the mechanism or measures the REIT Manager uses to supervise the property manager to prevent a
false statement/ Dissenimation of false or misleading information 1 5 5,000,000.00 - 153,310.00 - - Market manipulation 3 6 83,000,000.00 131,227.00 48,638.00 2 15 Insider trading / Disclose inside
any misleading statement and poses no reasonable doubt to its completeness or insufficiency. Clause 22/13 In the case where the applicant wishes to make concurrent initial offering of units and debt
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
of such action. Clause 8 An intermediary shall supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure