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
which this Notification comes into force. (2) In case of holding derivatives position, the derivatives broker may continue the holding for the remaining period and shall not extend or renew such contract
management” means a deputy manager, an assistant manager, a division director, a branch manager, and any persons holding equivalent position called otherwise and such person shall be responsible for services
the management of funds; or (b) being the position of director, manager of the management company, or any person holding equivalent position called otherwise who take the highest responsibility in the
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
director, deputy manager, assistant manager, department director, branch manager and shall also mean any person holding equivalent position called otherwise and such person shall be responsible for a line of
; (3) person holding a position equivalent to the positions under sub clause (2) called by other names; (4) advisor of securities company under Section 103 of the Securities and Exchange Act B.E. 2535
functions under Clause 4(1) are persons holding the following positions, excluding the person under Clause 10: (1) director; (2) general manager ; (3) person holding a position equivalent to the positions
hundred million or more in securities as per the audited financial statements for the most recent year; (14) Juristic person in which the shareholders are such persons under (1) to (13) holding shares in an
profit in short space of time, and vice versa, he or she may make a large amount of lose in that time which can be over the initial margin placed with the derivatives broker. 4. Risk from futures position