permit investment consultants to make securities trading on their behalves. While investment consultant has the duty only to provide investors with investment advice or planning, investors are responsible
penalties under Paragraph 1 of Section 296 and Section 296/2 of the same Act. In this regard, General Chaowarit, Mr. Praween, Miss Phatcharada and Mrs. Kanokwan – as persons responsible for the operations
units responsible for the internal audit. - Review the risk assessment and risk management systems to oversee that they are appropriate, adequate and efficient. - Review business operating procedures to
operation, reputation, position and results of operation of the intermediaries. “ manager ” means a person who is designated by the board of directors of intermediaries to be the highest responsible
mean any person holding equivalent position called otherwise and such person shall be responsible for a line of work relating to provision of securities services, securities operation or research on
holding equivalent position called otherwise and such person shall be responsible for a line of work relating to provision of securities services, securities operation or research on securities or capital
securities underwriting. Clause 5 A securities company shall set up a work unit responsible for custody of clients’ assets which is independent from a work unit responsible for securities trading (front office