individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
arrange the Category A investor contact subject to the approval by the Office proceeding in accordance with the rule prescribed by the Office, and shall supervise such Category A investor contact to comply
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
stakeholders in the ecosystem of financial reporting preparation in order for them to discharge their duties more efficiently and effectively. Meanwhile, the SEC will continue on the core mission to supervise
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
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
services suitable to each client carefully, especially with special care to the following clients: (1) any individual who is sixty years old or older; and (2) any person who has little financial knowledge
a money borrowing; “connected person” means any individual or juristic person having one of the following relationships with the director, executive, major shareholder or controlling person of a
supervise risks and uphold good corporate governance principles, among others. 4 2. Independent directors are required to hold the position for no more than nine consecutive years, and there must be at least
. (Translation) -3- “general advice”5 means an investment advice given to any person without considering of investment objective, financial status or individual needs; “specific advice”6 means an investment advice