derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law including the code
derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law including the code
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 Thailand; (3) having sufficient networks and channels for providing services or communication which is able to reach a wide range of investors; (4) having financial readiness without any reasonable
of Thailand; (3) having sufficient networks and channels for providing services or communication which is able to reach a wide range of investors; (4) having financial readiness without any reasonable
services or communication which is able to reach a wide range of investors; (4) having financial readiness without any reasonable ground to believe that the financial status may cause damage or any other
range 80-100%Score range 0-20% Score range 60-80%Score range 40-60%Score range 20-40% Fund 2Fund 1 Stock A ,B,C =70% Stock X ,Y,Z =30% Active share Similarity However, at the firm level, controlling for
. Basic shareholder rights are well established, and shareholders freely trade their shares, participate in shareholders meetings—including by proxy—and receive a range of information from listed companies
Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities
stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication and service