; (2) A securities operation unit, the securities company may arrange for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices

for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices. In case of absent of the branch office manager under the first

; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives operation unit with the head office or other full-service branch offices

operation unit with the head office or other full-service branch offices. In case of absent of the branch office manager under the first paragraph, the derivatives brokers shall arrange to have a new manager

shall at least be the head of the department or a person holding any equivalent position otherwise called under a different name but in charge of a line of work relating to the derivatives business

take the highest responsibility in Accounting and Finance, the person assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and

fund management Ο private fund management Ο other, (please specify)…………….. (Translation) 1.2. Name of applicant ………………………………………………………………… 1.3 Address of head office

, appropriate and efficient. In addition, to observe the independence of the internal audit unit, as well as to approve the appointment, transfer and dismissal of the head of the internal audit unit or any other

คู่มือการแจ้งการแต่งตั้งผู้ก ากับดูแลการปฏิบัติงาน (Head of Compliance) ผ่านระบบ ORAP 1. การเตรียมความพร้อมส าหรับการส่งแบบแจ้งการแต่งตั้งผู้ก ากับดูแลการปฏิบัติงาน (Head of Compliance) 1.1. จัดท า

Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the audit firm