time, the securities company may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the securities company
paragraph, the securities company shall arrange to have a new manager within one month unless obtain a waiver from the Office. In the mean time, the securities company may assign an officer of the head office
mean time, the derivatives brokers may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the derivatives
mean time, the derivatives brokers may assign an officer of the head office or the manager of other full- service branch offices to temporary acting as a manager. Clause 6. In case where the derivatives
within one month unless obtain a waiver from the Office. In the mean time, the derivatives brokers may assign an officer of the head office or the manager of other full- service branch offices to temporary
Trust for Transactions in Capital Market Act B.E. 2550 (2007). Clause 15/1 7 A trustee shall assign REIT’s management to a REIT manager who has obtained an approval from the SEC Office, unless in case of
| - |- Approval & Qualifications (Section 103, 104) |- Auditors |- Reporting Requirements |- Fees |- Related Circular Letter IP/FG |- Appoint/Approval/Code of conducts and Standard Practices |- Reporting |- Fees
Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing
Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the