fund management, or derivatives investment management company; “fund” means mutual fund and private fund; “investor” means any person interested in investing in capital market products including

company which wishes to make offering convertible bonds at lower market price to a specific person (placement), the applicant has complied with additional requirement as prescribed in Clause 13/1; (6) the

this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; (2) “market maker of gold derivatives” means any person

partner or equivalent affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors

affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors in the audit firm who has

final judgment in the case not filed by the SEC Office and it has not yet surpassed the three-year interval time after either the person completed the term of imprisonment or the suspension of sentence

regulations: Clause 1 In this Notification: (1) the term “company,” “parent company,” “subsidiary company,” “major shareholder,” and “controlling person” shall mutatis mutandis have the same meaning as defined

: Clause 1 In this Notification: (1) the term “company,” “parent company,” “subsidiary company,” “major shareholder,” and “controlling person” shall mutatis mutandis have the same meaning as defined in the

-year imprisonment each while Ratchasak must reimburse an aggrieved person in the amount of 878,169.19 baht. In addition, Kachen (or Komgrich or Chitsanucha) was sentenced to 8-year imprisonment for

who may have conflicts of interest,” “major shareholder” and “controlling person” according to the first paragraph (2) shall, mutatis mutandis, have the same meaning as defined in the Notification of