mean any person holding equivalent position called otherwise and such person shall be responsible for a line of work relating to provision of securities services, securities operation or research on
audited by an auditor; (11) a juristic person having the persons defined as an institutional investor under Section 3 of the Derivatives Act B.E. 2546 (2003) and those under (1) to (10) holding total shares
and Exchange Commission. Clause 3. Fund supervisor shall be commercial banks under the law on commercial bank, finance companies under the laws on undertaking of finance business, securities and credit
hundred million baht: (1) keeping clients’ assets in its possession; (2) investing in or holding securities for investment by the securities company itself; (3) bearing a responsibility for clearing and
of the insurance company; (b) letter of guarantee of a commercial bank, finance company, or financial institution established under a specific law; (c) other collateral prescribed by the Office
: Certification of Information 37 Attachments: Attachment 1: Details of directors, executives, controlling persons, the person assigned to take the highest responsibility in Accounting and Finance, the person
” means giving advice or holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling
): [ ] Accounting Name of Institution: [ ] Finance Name of Institution: 1.7 Related training programs held by the Thai Institute of Directors Association (IOD) Name of Program Year of Attendance [ ] Director
investment or holding of shares, a securities intermediary in the category of securities finance may invest in shares at an amount not exceeding ten percent of the total shares sold of such company, and the
investment schemes established under the Act on Undertaking of Finance Business, Securities Business and Credit Foncier Businesses; (4) Credit foncier companies; (5) Insurance companies; (6) Juristic persons