company” means any company licensed to undertake securities business; (2) “Executive” means director, manager or person with power of management; (3) “Person with power of management” means executive
) “Department director” means any person who is responsible for the internal operation of a department in the company. Clause 2. A securities company may appoint or allow another securities company’s executive to
of the parent company was 991.54 million Baht, decreased by 68.82 million Baht or 6.49% compared to the same period of 2016 Income statement (MB) Q3/2016 Q3/2017 YoY % 9M/2016 9M/2017 YoY % Total Sales
advisory service, ranging from the level of the department director to the manager; “department director” means any person who is responsible for the internal operation of a department in the company
Microsoft Word - 1_Company Account 3-%0@ˆ5"ˇ_@˙%5H"ˇA˙%_20211124 - kdraft V2.docx 1 Application for Registration / Change of Information in Company Account Date
the registration as a derivatives business operator must be a juristic person as follows: (1) a commercial bank under the law on commercial bank; (2) a financial company under the law of finance
business operator must be a juristic person as follows: (1) a commercial bank under the law on commercial bank; (2) a financial company under the law of finance business, securities business, and credit
Province will also provide opportunity for local businesses to adjust their internal control and operation in transition from family business to a public company with support from professionals. The project
this case also revealed that there were weaknesses in UBS?s internal control and compliance systems which failed to detect the irregularities in this matter which had continued for over nine months. The