Bangkok, October 15, 2014 ? The SEC supported Thaipat Institute in announcement on progress level assessment of Thai listed companies? anti-corruption (anti-corruption progress indicator). The
from 1 May 2015. Clause 2 In this Notification and the Application Form stipulated herein: The terms “institutional investor”, “listed company”, “parent company”, “subsidiary”, “same-level subsidiary
exchange service under law of such jurisdiction and is under supervision of authority or agency having duty to supervise derivatives; (5) “foreign derivatives business operator” means juristic person
in writing and shall allocate sufficient personnel and resources for operating the work of branch office as well as arrange to have management and operational system to efficiently supervise and
market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from
specified in Paragraph 1(1) at every level of subcontracting Clause 17 In case the contract under Clause 16 has an affiliated company of an intermediary being counterparty with a service provider for the
written contract which contains details specified in Paragraph 1(1) at every level of subcontracting Clause 17 In case the contract under Clause 16 has an affiliated company of an intermediary being
) who is a juristic person, derivatives clearing houses shall also supervise and monitor potential risks of these members. Clause 25 In cases where a derivatives clearing house provides tiered
to be the highest level responsible person in the management of a company; “ head of department ” means a person responsible for the work in the departmental level of a company; “ branch manager