company licensed to undertake derivatives business; (2) “executive” means manager or person with power of management; (2/1) 1 “manager” means any person assigned by the board of directors of the company to
with power of management of a financial institution which had its license revoked, unless an https://publish.sec.or.th/nrs/208pe.doc 7750p.doc
oversight of persons with the power of management and major shareholders, the imposition of penalties, and statues of limitations for legal proceedings. These proposed amendments are intended to enhance
costs and proportionate ownership, control or management power, have commons quality control system, business strategies, shared names or shared significant professional resources. The related parties or
and (b) have a clear objective to share profits and costs and proportionate ownership, control or management power, have commons quality control system, business strategies, shared names or shared
/Nor/Khor. 85/2552 Re: Prohibited Characteristics of Personnel in Derivatives Business dated 3 August 2009. Clause 2 In this Notification: (1) “person with power of management” shall have the same
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the Securities and Exchange Commission as qualified to be appointed as fund manager; “Person with Power of Management” means managing director, deputy-manager, assistant manager, department director