oversee the operation related to important matters such as an audit committee, a credit limit consideration committee and an investment committee to allow such committees to screen and give recommendations
advice without taking into account the objectives for investment, financial conditions or specific demands of any particular persons; (b) disseminating general advice to the public in such ways that allow
particular persons; (b) disseminating general advice to the public in such ways that allow persons who demand information to get a convenient access without requirement for member subscription; and (c) giving
company. Clause 2. A securities company may appoint or allow another securities company’s executive to be or perform duty as its executive or advisor upon being granted approval from the Office on condition
) “Department director” means any person who is responsible for the internal operation of a department in the company. Clause 2. A securities company may appoint or allow another securities company’s executive to
1 November 2009 Notified this 15th day of October 2009. - Signature - (Mr. Vijit Supinit) Chairman Securities and Exchange Commission Remark: The rationale for issuing this Notification is to allow