informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance

proceed in accordance with Clause 4(2). Clause 6 In proceeding with the actions as prescribed in Clause 4 and Clause 5, the Legal Execution Department and the SEC Office may jointly issue guidelines in

advisory service, ranging from the level of the department director to the manager; “department director” means any person who is responsible for the internal operation of a department in the company

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

Securities Institute and other training institutes accepted by the Office; “Executive” means any director, manager and executive director including deputy manager, assistant manager, department director and

Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities

market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties

manager in accordance with Section 144 or Section 145 or in accordance with the provisions of other laws; (6) being a political official; (7) being a government official with responsibility to supervise

director, manager or person with power of management; (3) “Person with power of management” means executive director, deputy manager, assistant manager, department director, branch manager and shall also

to be the highest level responsible person in the management of a company; “ head of department ” means a person responsible for the work in the departmental level of a company; “ branch manager