experiences and qualifications of the person whom the applicant will appoint as the authorized person of securities registrar; (4) rights, duties and responsibilities between the securities registrar and the
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 an...
unless the applicant qualifies all of the following conditions, such applicant may not appoint the financial advisor to jointly prepare the application: (1) having license to undertake securities business
relationship or professional services which disqualify such person in accordance with the governing regulations, the reasons and the necessity to maintain or appoint such person as an independent director as
size of 50% or higher and FPI is required to disclose information regarding the acquisition of assets of the Company to the SET, to appoint the independent financial advisor, and to hold a shareholders
Office. In the case where the investment advisory company intends to appoint an investment advisory agent, it shall make an appointment contract in writing. The appointment contract shall determine the
; (4) property and loan fund. Chapter 2 Appointment of Fund Manager Clause 4. In appointing a fund manager, the management company shall comply with the following rules: (1) appoint persons whose name is