/Nor/Khor. 85/2552 Re: Prohibited Characteristics of Personnel in Derivatives Business dated 3 August 2009. Clause 2 In this Notification: (1) “person with power of management” shall have the same
securities company licensed to undertake the securities business in the category of securities brokerage or securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives
licensed to undertake the securities business in the category of securities brokerage or securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives business in the
securities brokerage, securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives business in the category of derivatives agent or derivatives dealer; Repealed3
, securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives business in the category of derivatives agent or derivatives dealer; Repealed 3 ; “Notification on Standard of
unlawful gains for himself or another person and causes damage to Solaris Asset Management Co., Ltd. and undermined investor confidence in the fairness and integrity of capital markets, which constitutes
wishes to maintain the approval status, such person must take a refresher course and pay the renewal fee every two-calendar year period at the amount of 1,000 baht in case of investment consultant
Commission No. KorThor. 3/2551 Re: Additional Determination of Type of Juristic Person Classified as Institutional Investors _____________ By virtue of Clause 3 and Clause 9 of the Derivatives Act B.E.2546
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