(Unofficial Translation) 1. Human resources planning of each unit should demonstrate the adequate amount of personnel for each unit especially for the investment management division which should have at least 2
approved by the SEC office on conditions, rules and procedures specified by the Office; (6) a juristic person other than those persons under sub clauses (1), (2), (3),(4) or (5) which has at least 5-year
2017 (effective on 1 September 2017). 6 (6) a juristic person other than those persons under sub clauses (1), (2), (3),(4) or (5) which has at least 5-year experience in the field of function to be
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets . At least, there shall be a separation of personnel responsible for
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets. At least, there shall be a separation of personnel responsible for preparing
directly with CBP. The value of sub-leasehold right to be sold to the Trust will be at least THB 1,922.80 million and not exceeding to THB 2,235.00 million. Approved the Company and PD to enter into an
Business , an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain details in compliance with the rules under Clause 7 or
Business, an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain details in compliance with the rules under Clause 7 or