Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
exemption has been granted by the SEC; (4) being a director, a manager or a person with power of management of any other securities company; (5) having been removed from a position of chairman, director or
company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment
management company . Chapter 3 Power of the SEC Office regarding Issuance of Orders or Regulations ___________________ Clause 16 In addition to the specific provisions hereof, the SEC Office is empowered to
person who is authorized by a management company to have power to make decisions on investments for a fund; “Association” means any association relating to securities business, which has been approved by
person assigned by the board of directors of the securities company to be ultimately responsible for the management of the securities company regardless of what the title may be; “person with power of
……………………………….…….………. Detail of such incident ……………………. (attachment) (if any) O No (5) Was removed from office of director, manager or person with managing power of other securities company under section 144 or section 145 of
the management company has held the share of such person (c.3) Person in which the director, the manager or the person with power of management of the management company who has held shares exceeding
Section 147 Securities and Exchange Act B.E. 2535 Section 147. During any two year period, if any securities company does not undertake securities business of the type so licensed in the volume as