appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance
appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance
Committee issues an order to impose fines on such person, or from the date when a decision of an agency having the power to supervise or consider such behaviors is issued. Factors which may be taken into
Committee issues an order to impose fines on such person, or from the date when a decision of an agency having the power to supervise or consider such behaviors is issued. Factors which may be taken into
to the Office, the SEC or the organization having the power to supervise financial institutions, or participates or supports or having participated or supported such act of other person; (6) There are
to the Office, the SEC or the organization having the power to supervise financial institutions, or participates or supports or having participated or supported such act of other person; (6) There are
. 2535 (1992) (SEC Act). Pursuant to the SEC Act, the SEC is empowered to supervise and develop the primary and secondary markets of the country’s capital market system as well as securities-related
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
duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an