characteristics, or obtain an approval [from the SEC Office], as the case may be, as prescribed in this Notification: (1) managing, determining, controlling and supervising business policy of an intermediary ; (2
person in the same business sector as the intermediary shall be in accordance with the rules under Paragraph 1, mutatis mutandis . Chapter 1 General Provisions _____________ Clause 4 An intermediary which
Companies shall be in accordance with Chapter 2; (3) Additional Rules for Proprietary Trading of Derivatives Brokers shall be in accordance with Chapter 3. The management of investment of a juristic person in
Unyakowit), who was then an IEC executive. Any person named in a criminal complaint filed by the SEC Office and under legal proceedings due to dishonest management of assets is deemed lacking trustworthy
-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
3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing services to the client , as specified in details in Chapter 5
take the highest responsibility in managing the company’s affairs, regardless of his position called otherwise; (3) “person with power of management” means a deputy manager, an assistant manager, a
B.E. 2535 (1992) (SEA) and imparting the false statement with the intention to mislead any person concerning price sensitive information in contravention of Section 238 of the SEA and thus liable to