upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has

institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] · Reviewing and modify updatable by having a risk assessment once a

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

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

Minister in charge of the enforcement of this Act. SECTION 4/1.( The SEC shall have the power to determine the undertaking of business in any manner is not a securities business under this Act. SECTION 5.4

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

DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning

specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.

Section 19 Securities and Exchange Act B.E. 2535 Section 19. The Office has the power and duty to perform any act necessary for the implementation of the SEC’s resolutions and to perform any other