the above regardless of the title, and includes any person who has full or partial authorization under an agreement of management; “member” means any member of a derivatives exchange. 3 Chapter 2

& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate

behavior.On {A} case, her employer reported to the SEC that {A} failed to meet minimum educational requirements for her job. The SEC ' s further probe showed that she also failed to meet the SEC's requirements

minimum number of businesses and the nature of the businesses for which the auditors perform audit work and affix signature on the auditor’s report from at least three businesses to at least two

maintain the minimum net capital of B15 million (or at least B25 million if holding derivatives agent license). In addition, securities companies must maintain the minimum net liquid capital of at least 7

, insurance company, and mutual fund (2) high-net-worth individual (3) retail investor or juristic person with minimum of 2 million baht initial subscription. The persons in (2) and (3) will be required to have

director, or any person who holds a position equivalent to any of the above regardless of the title, and includes any person who has full or partial authorization under an agreement of management; “affiliate

(Chinese wall). By at least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear

information of units and personnel of the securities company (Chinese wall). By at least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the

least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear scope of work