into force from 1 September 2009. Clause 2 The following Notifications shall be repealed: (1) Notification of the Capital Market Supervisory Board No. TorThor. 10/2551 Re: Rules, Conditions and
broker is part of a financial conglomerate with its shareholding structure, internal group audit and supervision carried out by another regulatory body as prescribed and notified by the SEC Office, the SEC
revoked; or in the case that the derivatives broker is part of a financial conglomerate with its shareholding structure, internal group audit and supervision carried out by another regulatory body as
prohibited characteristics as specified in notifications, rules, or orders1 issued by the Securities and Exchange Act of B.E. 2535(1992) in the part of prohibited characteristics of a securities company’s
trust for transactions in the capital market. Clause 4 This Notification shall not apply in cases where there are other notifications of the SEC Office regarding approval of auditors for any specific
4. A notifications of allegation, appointment, imposition of administrative sanction, consideration on appeal or any other matters shall be made in writing. Clause 5. In cases of urgency or where a
control the staff under their supervision to comply with the policy and guideline; (3) Prescribe the guideline for course of actions where there is a breach of the guideline. The course of action should be
) Authorises the head of operational and business unit to monitor and control the staff under their supervision to comply with the policy and guideline; (3) Prescribe the guideline for course of actions where