of interest. In the case where an executive holds a position required to work on a full-time basis, the executive shall take such position at only one securities company. Clause 3. In applying for
Section 56 of the Securities and Exchange Act B.E. 2535 (1992). In case of vacating from the position in one company, the SEC Office may not de-list my name, if I remain holding position in or working for
of contribution in such limited partnership is less than one percent of the total amount of the contribution of that limited partnership; (e) in the case where the shareholding in such limited company
company shall invest through proprietary trading when such investment is long term capital more than one year except in any of the following cases; (1) Investing in deposit or equivalent instrument for the
price and the correct unit price is at least one Satang or greater, and represents at least 0.5 percent of the correct unit price, the management company shall retrospectively calculate the unit price
. In this regard, the management company shall appoint only one [1] person who obtain approval to be listed in the register according to rules set out in the second paragraph of Clause 6. (2) in case the
). However, such exemption shall apply to only one applicant for each management company and shall be terminated once such person no longer performs such duty or holds such position. Clause 4. Any applicant
company shall appoint only one person from such register to be Fund Manager according to rules under Clause 8, or Clause 17 the first paragraph (3); (2) in case the management company appoints its employee
ultimate controlling person, falls into one of the following situations, securities company shall classify the customer into a group that extra care is given and enhanced KYC/CDD process must be performed
called otherwise who take the highest responsibility in the line of work relating to capital markets, the exemption will be given to only one [1] person for each securities company; or (2) being listed in