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

in quality control system 1. 2. Details of other auditors approved by the SEC Office of.......persons. Names and Last names CPA License No. Position Approval Period 1. 2. 3. (Additional details can be

with the scheme which has been approved by the SEC Office. The power to issue an order under Paragraph 1 shall include orders in the following manners: (1) clarification or disclosure of additional

to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.

Securities and Exchange Commission concerning Determination of Additional Types of Juristic Person Classified as Institutional Investor . Chapter 1 Registration _____________ Division 1 Types of Juristic

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

, and the processes and procedures shall be improved in line with the policy which has been changed. Additional Guidelines 1. The policy on the management of information technology risk under Clause 5(1

from the date of receipt of completed application and document evidence, unless there appear to be additional fact and the Office notify of such necessity to the securities company prior to the period of

thirty days as from the date of receipt of completed application and document evidence, unless there appear to be additional fact and the Office notify of such necessity to the derivatives broker prior to

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