provided in the SEC’s online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the qualifications of the person who would
online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the qualifications of the person who would be a person with
accordance with the form and procedure provided in the SEC’s online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the
Licence Original: 0 copy Photocopy: 1 copy Remark: Sign to certify by the applicant - 11) Evidence of Registration with Independent Agencies Regulating Foreign Auditors Original: 0 copy Photocopy: 1 copy
Office of the Securities and Exchange Commission No. SorThor. 50/2549 Re: Rules on Waiver for Appointment of Independent Director of Derivatives Broker _____________ By virtue of the second paragraph of
then posted on their websites. Most directors are non-executive, and typically at least one third are considered independent of management and major shareholders. Most boards also have separate chairs
shall appoint a board of directors comprising the chairman of the board, executive directors, and independent directors, who have knowledge of and experience in the capital market or knowledge and
, the SEC Office, the Bank of Thailand, the Thai Bond Market Association and any other organizations that monitor and examine goods or variables for the benefit of supervision of derivatives, goods or
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with