firm executives against whom the SEC files a criminal complaint as person of untrustworthy characteristics, active participation of minority shareholders in Extraordinary General Meeting of Shareholders
the stored things in respect of client ’s private data, and unrevealed or non-public information; (3) appointing a responsible person who has duty to undertake and be liable for arranging and keeping
person to be the manager of the fund and the assets generated from the fund; (3) having an investment policy whereby investment in a business is made through entering into an agreement for investment in
operation or any other proceeding in a manner that reflects the role in the operation of such business. “venture capital” means a juristic person established under Thai or foreign law with the objective of
, the CRA should refrain from issuing a credit rating. 1.5 In assessing creditworthiness, analysts involved in the credit rating action should use the credit rating methodology established by the CRA for
shall arrange following up and compliance with the said policies and plans. In this regard, the Board and the senior management may appoint a working group as a responsible person for operational works
. In this regard, the Board and the senior management may appoint a working group as a responsible person for operational works, but they shall keep monitoring such operations. Division 3 Impacts from
responsible person who has duty to undertake and be liable for arranging and keeping information, document or evidentiary documentation in accordance with the rules as prescribed in sub clause (1) and (2); (4
Market Supervisory Board concerning Outsourcing Some Operations in Securities or Derivatives Business to Others. 8 govern them to be approved person according to such requirement and control them to