incorporation in the amount of more than 10 percent of the total number of the voting rights of such incorporation. In this regard, the shares held by such person shall be included in the number of shares held by
. Clause 6. Prior to agreeing to provide selling agent service for units of foreign collective investment scheme, securities company shall arrange to have agreement in writing with person responsible for
currently more than 9,000 funds, or check whether any juristic person or person is properly licensed or approved in the capital market. By 2018 SEC aims to expand the scope of data services to be more
that Sakorn solicited the person to purchase BSEC shares based on the insider information that OSK Investment Bank Berhad (OSKIB) in Malaysia was interested in buying BSEC shares from Bangkok First
director” means any person who is responsible for the operation at a departmental level in the company; (5) “work experience” means work experience in a financial institution or other organizations in a line
authorized to make decisions on company’s business operation on behalf of the board of directors; (5) “Department director” means any person who is responsible for the internal operation of a department in the
) “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
usefulness in the nature as being a property of IEC, and acting in order to obtain unlawful gains for himself or another person. The court sentenced him a 4 years and 12 months imprisonment and a total fine of
Board concerning Rules on Personnel in the Capital Market Business . Clause 3 It shall be deemed that a derivatives intermediary has obtained an approval from the SEC Office to appoint a person to be