to check whether the work performance of such designated person is within the scope of power, duties and responsibilities; (2) determining clearly the rules concerning consideration for approval of
prevention of the conflict of interest and Chinese wall. - demonstrate in detail on the above mentioned measure, at least in the following matters: (a) an organization chart and scope of power, duty 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
areas to be satisfied by a management company: (1) The scope of operations of the permitted branch office as it deems appropriate; (2) The procedures to be made by the management company to ensure
scope and description of delegated responsibilities of each position (job description). *** The number of experience years may be indicated in periods of time. **** For example, the Audit Firm has 3
the proceeding power ” means an official receiver and the SEC Office. “ client asset account ” means an account of a client’s assets prepared by an intermediary in accordance with the law on derivatives
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
scope of rules and regulations which would serve as standards for derivatives fund management must be set out for the supervision of the derivatives business in the category of derivatives fund management
undertake securities business; “Full-service Branch Office” means a securities company’s branch office in Thailand that provides services within the scope approved for such securities company. “Online Branch
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