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

; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person in the number of exceeding fifty percent of the total

relationship with a director, an executive, a major shareholder or a controlling person of a securities underwriter in the following manners: (a) a spouse or a minor child of such person; (b) an individual or a

structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission, strategy

Organisational structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission

financial institution or a juristic person established under Thai law with a main objective of undertaking the business of financial advisor, accounting advisor or legal counselor; (2) having a discrete work

country that is a collective investment scheme, whether in the form of a company, trust, or any other form; (2) a fund established under the laws of a foreign country of which the main objective is to make

shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction

following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction in order to obtain

objective restriction in order to obtain information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset