the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an

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

submitted as attachments.) Details of the partners or equivalent in the Audit Firm, a total of .......... persons Names and Last names Educational Qualification Registration No. Performing audit Experience in

Material changes and developments Give a brief account on the material changes and developments regarding the controlling power and the nature of business during the preceding year as well as the material

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

controlling power and the nature of business during the preceding year as well as the material changes in the shareholding structure, management or business operation or any other important events (e.g., merger

licensed to undertake securities businesses under the law on securities and exchange; “Executive” means director, manager or person with power of management; “Person with power of management” means executive

publication in the Government Gazette. SECTION 8 . The Minister of Finance shall be in charge of this Act and shall have the power to issue notifications and appoint competent officials to perform duties under

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

Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and