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
units (B) Prospectus CIS operator must prepare a wrapper in case the prospectus as approved by, registered, or filed with the Home Regulator does not contain the information specified in the registration
prepare a wrapper in case the prospectus as approved by, registered, or filed with the Home Regulator does not contain the information specified in the registration statement listed above and other
operator must prepare a wrapper in case the prospectus as approved by, registered, or filed with the Home Regulator does not contain the information specified in the registration statement listed above and
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
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
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