Supervisor ______________________ In pursuance of the Notification of the Office of the Securities and Exchange Commission governing the qualifications of the mutual fund supervisor – one such qualification
______________________ In pursuance of the Notification of the Office of the Securities and Exchange Commission governing the qualifications of the mutual fund supervisor – one such qualification therein being that such
national economy. One of the subordinate plans is to provide opportunities for SMEs to access financial services, including new types of funding sources, and to develop channels for accessing new types of
witness or expert witness; (4) requesting any person to submit relevant documents in such person’s possession; (5) conducting an on-site inspection. The alleged person shall cooperate with the authority in
control and information technology security as specified in the notification of the SEC Office. Clause 8. Derivatives broker shall arrange to have independent director of at least one out of four directors
derivatives trading account shall be prepared in written with steps and procedures sufficient to ensure that the customer is the same person as the one appearing in the documents and evidence used for opening
investment exceeds one hundred million Baht; (14) a juristic person whose shares holders are the persons under (1) to (13) collectively hold the shares in an amount exceeding seventy-five per cent of the
the recent year demonstrate a capital investment exceeds one hundred million Baht; (14) a juristic person whose shares holders are the persons under (1) to (13) collectively hold the shares in an amount