replaced with the following provision: “SECTION 31/3 In the case where it is necessary to appoint commissioners in the SEC or board members in the Capital Market Supervisory Board, the Minister shall appoint
establish a risk management committee or assign responsibility to the audit committee to assist the board in its oversight functions related to guidelines nos. 6.1.1 – 6.1.4. 6.1.6 The board should regularly
operation promotes integrity of the capital market and is in compliance with the regulations on good governance established pursuant to Clause 7, derivatives clearing houses shall appoint a board of directors
In the past, SEC had been approving securities business operators to assign outsourcing in other operations related to businesses for the effectiveness and flexibility of the operation. Business
22) |- Protection of Customer Assets (Section 33) |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing representatives (Section 18
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
resolution and order shall state clear reason therefor. If the office of the Chairman or a commission member is vacated prior to the expiration of the term of office, the Cabinet may appoint another person to
must declare its intention to appoint debtholders’ representative since the beginning process that it applies for approval of debenture issuance to SEC because the appointment during the tenure of such
to Appoint a Personnel to be a Director or a General Manager of the Securities Business B.E. 2553 dated 1 February B.E. 2553 ; (2) Notification of the Office of the Securities and Exchange Commission