prohibited from performing duties as other personnel in capital market business as approved by SEC under Clause 30(4)(a) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557
Board No. Tor Lor Thor. 48/2560 Re: Rules on Personnel in the Capital Market Business (No. 7) dated 30 August 2017.** Investment Consultant of Complex Products Type 1 is approved to give investment advice
. · The ASEAN CIS Framework enables fund managers operating in a signatory jurisdiction to offer collective investment schemes or funds constituted and approved in that jurisdiction to retail investors in
Cuisine from a shareholder who is the spouse of a director and an executive of EIC. Therefore, the transaction must be approved at a meeting of shareholders by a vote of not less than three-quarters of
act.?As the Executive Chairman of Apple Wealth Securities, {A} was involved in the company's misconduct and failed to perform supervisory duties. He approved the opening of trading accounts and the
investment research in compliance with ASCO guidelines as approved by the SEC. The guidelines will include the requirements that brokers must produce investment research to cover at least 30 securities; each
the status of approved investor contact for three months as from September 1, 2011. In case of {B}, the SEC received a report from Bualuang Securities Plc. on its investigation which was conducted upon
accordance with the following rules and shall supervise that its own personnel comply with such rules as well: (1) establish a written outsourcing policy having been approved by the intermediary’s board of
one agenda has not been approved, the approved agenda will be aborted and there will be no consideration in other next agenda which will considered the approval appeared in Agenda 2 and Agenda 3 would