Trade Competition Commission – a separate independent body to supervise trade competition with greater flexibility. As a provider of financial services operating under the purview of this Act, KBank
exchange service under law of such jurisdiction and is under supervision of authority or agency having duty to supervise derivatives; (5) “foreign derivatives business operator” means juristic person
the supervision of the State or the agency authorized to supervise derivatives trading as: □ being licensed to be a derivatives dealer; □ having been registered to be a derivatives dealer; □ being
securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has prescribed, the Office shall have the authority to waive
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
responsible for post-trade operation [back office], and shall arrange for the personnel responsible for securities trading to submit a report on securities trading to the work unit responsible for post-trade
17 A securities company shall not trade securities by using inside information in such a way that takes advantage of outside persons or disclose such inside information for other persons’ use. 6 Added
17 A securities company shall not trade securities by using inside information in such a way that takes advantage of outside persons or disclose such inside information for other persons’ use. 6 Added
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
derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law including the code