(2008) hereby issues the following regulations: Clause 1. In this Notification: (1) the term “company,” “parent company,” “subsidiary company,” “major shareholder,” and “controlling person” shall mutatis
underwriter in the following manners: (a) a spouse or a minor child of such person; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding
investments, the following requirements shall apply: 1. in case of a central utility function , the subcontractor at any level shall be a person approved by the SEC Office in accordance with Clause 12; 2. in
following requirements shall apply: 1. in case of a central utility function, the subcontractor at any level shall be a person approved by the SEC Office in accordance with Clause 12; 2. in case of a non
43 and Section 45 of the Constitution of the Kingdom of Thailand so permit by virtue of law, the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In
dated 4 June 2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “executive” means a manager or an authorized management person; (2) “manager” means a person
director or executive’s full name] Part 2: Characteristics Indicating Untrustworthiness 1. Being a person having any of the following characteristics: (1) I am an insolvent person, an incompetent or a quasi
Arrangement, Operating Systems and Providing Services of Securities and Derivatives Intermediaries dated 6 September 2556, the SEC hereby issues the following regulations: Clause 1 In this Notification
following rules: (1) In case of a natural person, the management company shall appoint a person approved by the Office pursuant to the Notification of the Office of the Securities and Exchange Commission