capital market products, investment management, management of the intermediary’s branch office, supervising account of clients and making investment decisions for clients, operational function, compliance
supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securities and Exchange Commission. “financial institution” means a financial institution under the Interest on
, derivatives exchange, securities clearing houses, central securities depositories, the SEC Office, and the Bank of Thailand, for the purposes of supervising and examining the financial position and risks of
as auditor in the capital market shall have the following characteristics: (1) having an audit quality control system which is sufficient and reliable for supervising its auditors’ work performance to
general manager; (b) a person approved by the SEC Office to perform the duty in the level of controlling, supervising and managing the business unit under the Notification of the Capital Market Supervisory
online branch office; (a) the general manager; (b) a person approved by the SEC Office to perform the duty in the level of controlling, supervising and managing the business unit under the Notification of
online branch office; 8 (a) the general manager; (b) a person approved by the SEC Office to perform the duty in the level of controlling, supervising and managing the business unit under the Notification
) of the Notification on Standard Conduct of Business shall include the following characteristics and shall comply with the Notifications of the Associations approved by the SEC Office: (1) supervising
; (3) re-assess and manage risks in case of changes to the processes and procedures and controls associated with information security, or changes of the outsourcee; (4) establish measures for supervising