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
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
market 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
informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance
manager in accordance with Section 144 or Section 145 or in accordance with the provisions of other laws; (6) being a political official; (7) being a government official with responsibility to supervise
accordance with the guidelines for renewal of approval for investor contacts as prescribed by the Office. The prescription is to ensure that investor contacts who play vital roles in the capital market will
applicant shall be deemed engagement performance and responsibilities of the audit firm; 7. I will supervise engagement performance of the applicant to ensure that he or she comply with the professional
transaction with the best execution for the fund or being vital and beneficial to the fund at that particular time; (2) being an at arm’s length transaction; and (3) in cases where such transaction is cross
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
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