perform duties under Clause 4, an intermediary shall comply with the following rules, as the case may be: (1) for appointing or assigning a person to hold the positions under Clause 5, such person shall

Material changes and developments Give a brief account on the material changes and developments regarding the controlling power and the nature of business during the preceding year as well as the material

, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “ general investor ” means an investor who

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

policy-making or the Company's operation (for example, assigning a person to be an authorized director). If the shareholders identified above do not represent the true shareholders, for example, those

under Clause 4, an intermediary shall comply with the following rules, as the case may be: (1) for appointing or assigning a person to hold the positions under Clause 5, such person shall meet the

have the power to specify in its notification the rules with which derivatives business operators shall comply.

Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and

the proceeding power ” means an official receiver and the SEC Office. “ client asset account ” means an account of a client’s assets prepared by an intermediary in accordance with the law on derivatives

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