areas to be satisfied by a management company: (1) The scope of operations of the permitted branch office as it deems appropriate; (2) The procedures to be made by the management company to ensure

act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval

the association with the approval of the SEC Office. If it is necessary and expedient, the SEC Office shall have the power to instruct a management company to act additionally or differently from the

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

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

derivatives brokers may assign other officers to temporary acting as a manager. Chapter 3 The Power of the Office and Notify of the Closing of Branch Office ----------------------------- Clause 15. Where it

Notification of the Capital Market Supervisory Board No. TorThor. 56/2559. Division 2 The Third Party Permitted to be a Service Provider for Outsourced Function Clause 10 5 An intermediary could outsource the

An intermediary shall not do any operation constituting conflict of interest as prescribed in Clause 16 unless it is permitted as prescribed in Division 4 of this Chapter. Clause 20 An intermediary

prevention of the conflict of interest and Chinese wall. - demonstrate in detail on the above mentioned measure, at least in the following matters: (a) an organization chart and scope of power, duty and

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