repayment and pledging collateral, and confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, which specifically stipulate a position
Notification. 4 Chapter 1 Rules on Establishing Domestic or Oversea Branch Office ____________________ Division 1 An approval ________ Clause 7 An intermediary who wishes to establish a domestic or oversea
deemed that an intermediary has already complied with this Notification. 4 Chapter 1 Rules on Establishing Domestic or Oversea Branch Office ____________________ Division 1 An approval ________ Clause 7 An
10% of the total number of voting shares of any juristic person. “executive” means a manager, the first four executives below the manager, and every person with a position equivalent to the fourth of
user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other financial
staff and user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other
The Securities and Exchange Commission (SEC), represented by Ms. Archinee Pattamasukhon, Assistant Secretary-General in charge of Stakeholders Relations Division, participated in a panel discussion
Bangkok, 25 October 2023 – The Securities and Exchange Commission, Thailand (SEC) has appointed Mrs. Sittasri Nakasiri as Assistant Secretary-General – Strategy and Planning Division, in charge of