their publication in the Government Gazette. SECTION 7 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
company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment
document for an account opening including client identification, beneficial owner and controlling person. In this regard, the securities company shall consider the ability to pay debt of the client before
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
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
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
the management company has held the share of such person (c.3) Person in which the director, the manager or the person with power of management of the management company who has held shares exceeding
internal audit and regulated by other competent regulators according to the notification of the SEC. The SEC Office has the power to waive the appointment of independent director temporary or permanently