offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an

court for an offence relating to property committed with dishonest intent: O yes O no 6.3 Having been a director, manager or person with managing power of a financial institution whose license has been

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall

Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister

management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to

Rerson and Qualifications of Applicant _____________ Clause 4 An applicant for the registration as a derivatives business operator must be a juristic person as follows: (1) a commercial bank or a financial

perform duty as director, manager or person with power of management or advisor of another securities company, which is in support of financial conglomerate of securities businesses, bringing about

signature in the opinion on the financial statement of a securities company, shall be a certified public accountant who is approved by the Office of the Securities and Exchange Commission to be eligible to

fund performance, as well as other information relating to the condition of such fund at each particular period, i.e., details of investment, financial position, expenses, and opinion of the fund

to check whether the work performance of such designated person is within the scope of power, duties and responsibilities; (2) determining clearly the rules concerning consideration for approval of