, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “general investor” means an investor who is
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By
conditions different from the provision of services by licensed securities business operators, and that the client’s consent is required prior to provision of such services; (4) make an agreement with the
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________
and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________ By
from being shareholders or being authorized by agreement or any other acts, particularly any person possessing any of the following characteristics: (a) Any person who has the voting rights, whether
Bangkok, 20 October 2016 - The SEC has suspended approval of 11 investment consultants of six securities companies for soliciting investors to purchase IPO and over-the-counter shares to seek
to postpone the acknowledgment and the agreement to pay the civil fine by 30 days (to 3 October 2018), citing a busy schedule. But the SEC did not allow the postponement on the ground that it was