institution established under specific law. Additionally, [the term of “authorized management person”] also means a person who is a member of a committee performing duty relevant to business management of
Mr. Anek Yooyuen, Deputy Secretary-General of the SEC, said: “We have been on the case regarding the complaints against the ZipUp+ project of Zipmex Co., Ltd. So far, the SEC has enforced the law on
investor; (b) compliance with the investment policy and rules concerning investment as specified by the law; (c) prevention, correction or management of any risks arisen from investment. (3) back office
the investment policy and rules concerning investment as specified by the law; (c) prevention, correction or management of any risks arisen from investment. (3) back office supporting system which
customer or the investor; (b) compliance with the investment policy and rules concerning investment as specified by the law; (c) prevention, correction or management of any risks arisen from investment. (3
Exchange of Thailand; “investment unit” means: (1) The investment unit specified under the Law on Securities and Exchange; (2) A financial instrument or certificate representing the right of the holder as
29/2540 Re: Rules, Conditions and Procedures for Securities Borrowing and Lending By virtue of Section 14 of the Securities and Exchange Act, B.E. 2535 (1992) and Clause 5 of the Ministerial Regulation
Procedures for Securities Borrowing and Lending By virtue of Section 14 of the Securities and Exchange Act, B.E. 2535 (1992) and Clause 5 of the Ministerial Regulation No. 9 (B.E. 2540) issued under the
Ministerial Regulation No. 9 (B.E. 2540) issued under the Securities and Exchange Act, B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this