deficiencies in CL's system for overseeing the outsourcing of an assigned freelancer for introducing customer list. CL failed to supervise the performance of the freelancer in accordance with the assigned

appointed or assigned by a fund management company to consider and determine the scope of investment of mutual fund, private fund or derivatives investment management; “ investment management assistant

from derivatives for clients; “member of fund investment committee” means a member of a committee which is appointed or assigned by a fund management company to consider and determine the scope of

for clients. “member of fund investment committee” means a member of a committee which is appointed or assigned by a fund management company to consider and determine the scope of investment of mutual

investment decisions for seeking benefits from derivatives for clients . “ member of fund investment committee ” means a member of a committee which is appointed or assigned by a fund management company to

, Passport Number : Expiry Date : will be appointed by [specify company’s name] , having its principle office located at Tel. as the company’s director/executive, I hereby give my permission to the SEC Office

Bangkok, October 1, 2014 ? The SEC Board appointed Tipsuda Thavaramara, Senior Assistant Secretary-General as a Deputy Secretary-General. The appointment becomes effective as from October 1, 2014

Board has appointed (1) Kaisri Nuengsigkapian as SET governor for another term (2) Yothin Nerngchamnong and (3) Sasitorn Phongsathorn. The three governors serve a term of two years, starting from August

SEC Board has appointed (1) Sompol Kiatphaibool as SET governor for another term and (2) Supak Sivarak. Both governors serve a term of two years, starting from August 15, 2011.

assigned by such claimant; “SET” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and Exchange Commission. Chapter I General Provision ________________________ Clause 4. The