allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept

manager, an assistant manager, a head of department, a branch manager and also means a person holding any equivalent position called otherwise. In this regard, such persons shall be responsible for a

field and parking lot with Jainnopsiri Company Limited (Held by Mrs. Sirima Iamsakulrat and Mr.Jain Charnnarong) period 10 year since June1, 2020 or the date of possession of the area, whichever the date

head of department or a person holding any equivalent position, otherwise called by a different name but in charge of a line of work relating to the securities business. (UNOFFICIAL TRANSLATION) 2 (2) In

shall at least be the head of the department or a person holding any equivalent position otherwise called under a different name but in charge of a line of work relating to the derivatives business

คู่มือการแจ้งการแต่งตั้งผู้ก ากับดูแลการปฏิบัติงาน (Head of Compliance) ผ่านระบบ ORAP 1. การเตรียมความพร้อมส าหรับการส่งแบบแจ้งการแต่งตั้งผู้ก ากับดูแลการปฏิบัติงาน (Head of Compliance) 1.1. จัดท า

Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the audit firm

directors to be the highest level responsible person in the management of a company. “head of department” means a person responsible for the work in the departmental level of a company. “branch manager” means

of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or

a company; “head of department” means a person responsible for the work in the departmental level of a company; “branch manager” means a manager of the branch office or a person responsible for the