Executives of securities companies and personnel in securities business Registered Person in Derivative Business Broker, Dealer, Underwriter and other securities businesses Related Organizations Digital Assets
executive as follows: (1) In cases where a derivatives business operator appoints a new person as director or manager, or in other cases than (2), the derivatives business operator shall submit the following
person in the same business sector as the intermediary shall be in accordance with the rules under Paragraph 1, mutatis mutandis . Chapter 1 General Provisions _____________ Clause 4 An intermediary which
into force from 16 May 2015. Clause 2 In this Notification: “Notification on Standard Conduct of Business” means the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re
/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
on policy making, management or operation of the business; and (d) Any person who, by circumstances, operates the business or has responsibilities in the operation of the business as executives
prescribed in the Notification of the Capital Market Supervisory Board governing prohibited characteristics of personnel in securities business. Clause 10. The approval to be listed in the register of person
governing prohibited characteristics of personnel in securities business. Clause 10. The approval to be listed in the register of person qualified to be fund manager is given for two-year period, the first