is for promoting and supervising derivatives intermediaries, having obtained an approval [for establishment] from the Securities and Exchange Commission. The law on financial institution business
establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries, having obtained
the requirements of the official agency which is the regulator directly supervising the business operation of the issuer of instruments, or the requirements of the Ministry of Commence, as the case may
any of the following characteristics: (a) being subject to restrictions or suspension of business operations ordered by the government or regulatory authority supervising the business operation of such
connecting transactions or transactions that may have conflicts of interest to ensure that they are accurate, complete and in compliance with rules and regulations of the supervising agencies as well as
; (2) “supervisor” means a person in charge of supervising the work of financial advisory unit who has been or is to be assigned to co-sign with the financial advisor in the letter of certification of
performance to prove that the fund manager’s responsibilities for overseeing and managing the fund as required, This is not in accordance with the work system that notifies the office before requesting to start
Mr. Cholnatee Sopak Mr. Cholnatee Sopak, at the time of the incident serving as Assistant Managing Director of the Bondholders’ Representative Division and the person responsible for overseeing the