the necessary resources and experienced personnel in order to be able to supervise the operations of the delegated persons, and to formulate the policy in the delegation of other persons to operate a
to efficiently supervise the conduct of its agent, the SEC Office may not allow the management company to further appoint such person as agent, and in case of not allowing, the SEC Office shall clearly
able to efficiently supervise the conduct of its agent, the SEC Office may not allow the management company to further appoint such person as agent, and in case of not allowing, the SEC Office shall
, but there is a certain fact appeared to the SEC Office which is reasonably suspicious that the management company may not be able to efficiently supervise the conduct of its agent, the SEC Office may
exchange service under law of such jurisdiction and is under supervision of authority or agency having duty to supervise derivatives; (5) “foreign derivatives business operator” means juristic person
in writing and shall allocate sufficient personnel and resources for operating the work of branch office as well as arrange to have management and operational system to efficiently supervise and
market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from
ประเภทหุ้นที่จดทะเบียน ใน exchange (ยกเว้นหุ้นที่ไม่แสดงถึงการซื้อขายเป็นปกติ เช่น หุ้นที่ขึ้นเครื่องหมาย H (Halt) หรือ SP (Suspend) เป็นต้น) ให้บริษัทจัดการใช้ราคาใน exchange ที่มีการเปิดเผยต่อสาธารณะ โดย