establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
comprising courses on finance, investment, accounting or economics. 3. Maintenance of status 3.1 Being securities firm executive or mutual fund manager or private fund manager on the renewal application date
remuneration (for example, Mr. A receives remunerations of XXXX baht in 20XX, consisting of meeting attendance fee and director reward, the amounts of which vary according to the Company's operating results). In
branch office, comprising at least an efficient system for operational management, compliance management, information management and preparation of competent personnel. 4.4 Having the result of the latest
objective of providing venture capital to a startup business, and consisting of accredited investors only. “ investor having specific characteristics ” means an investor having specific characteristics in
comprising of, at least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system
one half of the curriculum, based on number of subjects studied, comprising courses on finance, investment, accounting or economics.
Management Connect Scheme on 29 June 2020, which aims to provide investors in the Greater Bay Area (“GBA”) – consisting of Guangdong, Hong Kong, and Macau – a mutual access to investment products available
Derivatives Broker dated 25 November 2004. Clause 3 In the Notification: (1) “derivatives business license type Sor-1” means a license to undertake derivatives business in various categories consisting of (a
. ......................................................................................................................................................... As at (the last day of the pervious accounting period).................................., the Audit Firm has the total of ..............employees, comprising of the employees who provide auditing