person; (5) not being accused or proceeded in the criminal case by the authorized agency under its law, or has a final judgment of offences in operating derivatives business without license or registration
being accused or proceeded in the criminal case by the authorized agency under its law, or has a final judgment of offences in operating derivatives business without license or registration or offences
registration statement shall indicate that the statement or report, in the form and context in which it is included, has been included with the consent of that person, who has authorized the contents of that
หลักฐาน นอกจากนี้ บริษัทหลักทรัพย์ต้องแต่งตั้งเจ้าหน้าที่นำส่งข้อมูลอิเล็กทรอนิกส์ ซึ่งเรียกว่า “ผู้ปฏิบัติการ (Authorized Officer)” โดยส่งหนังสือแต่งตั้งผู้ปฏิบัติการดังกล่าวไปยังสำนักงาน ทั้งนี้ หาก
submission date; (2) name and location of the applicant; (3) name, work experiences and qualifications of the person whom the applicant will appoint as the authorized person of securities registrar; (4) rights
experiences and qualifications of the person whom the applicant will appoint as the authorized person of securities registrar; (4) rights, duties and responsibilities between the securities registrar and the
in order to obtain information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset management
information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset management company to provide advice or
objective restriction in order to obtain information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset