from such client; (6) in the case of giving advice on derivatives, the derivatives broker shall give advice which is suitable to and in the best interests of each client, as well as monitor and supervise
arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of
deceases, resigns or SEC has annulled the approval, or securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has
the redemption price to the client ; (4) examine and supervise the employee responsible for the said duties to provide true and accurate information to the client . Clause 18 In considering a
securities trading of the client, and provide sufficient data or documentary evidence to ascertain a client’s financial status and debt repayment ability. In case of a retail client , the securities company
. 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 to obligate them to
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
inconsistent with the 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
supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to comply with such rules. In case
appropriate experience and ability, and necessary authority, to assume that responsibility. If yes, is their appropriate experience and ability sufficient to identify and understand quality control issues and