cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
and the determination to drive the business towards sustainability, as deemed appropriate by the Company, to be used as guidelines for investors to understand and monitor future business directions of
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
. The attendance list is shown on page 14. Policy and Implementation 1. Corporate Governance Policy Established upon the enactment of the SEC Act, the SEC has the duty to promote, develop and supervise
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, who are responsible for
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, who are responsible for
judgement, transactions that were not in the normal course of business, and accounting transactions that required professional skepticism, the SEC found deficiencies in the inadequate gathering of audit
Under the SEA, the SEC has the duty to promote, develop and supervise the Thai capital market to ensure reliability, transparency and fairness for all parties concerned. In fulfilling this mission, the
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