to check whether the work performance of such designated person is within the scope of power, duties and responsibilities; (2) determining clearly the rules concerning consideration for approval of

the SEC Office, the SEC Office shall have the power to grant the securities company a temporary or permanent exemption from appointment of independent directors as prescribed in Paragraph 1. In such

make decision in securities dealing for the securities company. Clause 7. A securities company shall separate front office units and personnel from its back office, and must provide a system of check and

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

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

with a client. Such procedure should have adequate process to identify and verify client’s true identity in order to ensure that the client is the person appears on the documents referred to during the

ประโยชน์อย่างเป็นอิสระต่อกัน โดยมีมาตรการควบคุมภายในเพื่อตรวจสอบและถ่วงดุลการปฏิบัติงานระหว่างหน่วยงานทั้งสอง (จัดให้มีระบบ check and balance ตลอดกระบวนการทำงาน) 2. ได้รับมอบหมายจากบริษัทจัดการตามข้อ 13 ของ

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

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