, duties and responsibilities between the securities registrar and the securities issuer; (5) positions, number, power and duties of the employees who will work at the unit responsible for providing services

company” means any company licensed to undertake securities business; (2) “Executive” means director, manager or person with power of management; (3) “Person with power of management” means executive

act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval

regulations: Clause 1 In this Notification: “ regulatory sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to

or health impairments; If the clients under Paragraph 1(1) or (3) is financially literate or have made investment, the intermediary may provide or offer services suitable for such clients. Chapter 1/13

controlling power and the nature of business during the preceding year as well as the material changes in the shareholding structure, management or business operation or any other important events (e.g., merger

full-service branch office for such category of securities business, the Office shall permit the full-service branch office to also provide services for securities business in the category of private

for experimenting and developing an innovation in a controlled environment to support provision of services related to capital market. “ approved person ” means a person who is approved by the SEC

Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives

category of securities brokerage, securities dealing, investment advisory services, securities underwriting, but shall not include a financial institution under other law and later obtain a license to