foreign collective investment scheme. “home regulator” means a supervisory agency of an ASEAN country which has the authority to supervise a foreign collective investment schemes or CIS operator. “brokerage
foreign collective investment scheme. “home regulator” means a supervisory agency of an ASEAN country which has the authority to supervise a foreign collective investment schemes or CIS operator. “brokerage
assistance and support to enable the SEC Office to complete the actions thoroughly, and the SEC Office shall coordinate and notify the official receiver of the said actions before the official receiver shall
assistance and support to enable the SEC Office to complete the actions thoroughly, and the SEC Office shall coordinate and notify the official receiver of the said actions before the official receiver shall
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
into its custody; (2) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian; (3) System to ensure that the
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
members’ default on the obligations on derivatives so that the events of default can be handled efficiently and timely, disclose such procedures and methods to the general public, and coordinate with
will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of 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