) “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
Securities and Exchange Act B.E. 2535 (1992) ; Clause 11 This Notification is inapplicable to an appointment of person to be an investment consultant , investment planner or investment analyst in any of the
consultant of a securities company under Section 103 of the Securities and Exchange Act B.E. 2535 (1992). (2) for appointing or assigning a person to hold the positions as prescribed in Clause 6, such person
of Thailand so permits by virtue of law, in conjunction with Clause 10, Clause 18(6) and Clause 19 of the Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules
following regulations: Clause 1. The provision in Clause 13 of the Notification of the Office of the Securities and Exchange Commission No. SorNor. 29/2549 Re: Acts that may Create Conflicts of Interest on
the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business Operator B.E. 2553 (2010) 01/02/2010 01/02
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Securities and Exchange Commission No. KorThor. 6/2547 Re: Additional Determination of Type of Juristic Person Classified as Institutional Investor dated 23 January 2004 shall be repealed. Clause 2. The
law on concerning agricultural futures trading; (18) international financial institution; (19) Deposit Protection Agency; (20) Stock Exchange of Thailand; (21) juristic person in the category of