from the date on which such matter occurs and it shall be deemed that the securities company is given an exemption by the Office from appointment of independent director during such period. Clause 3. Any
acceptance of the correctness of the cause of the challenge. Chapter V Arbitral Proceeding ________________________ Clause 19. The arbitral proceeding shall be conducted in Thai language. Clause 20. No matter
application for a license and the granting of a license to provide services as a securities registrar, which is subject to other specific rules governing such matter as prescribed by other Notifications. Clause
period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are
consider and determine the scope of investment of mutual fund, private fund or derivatives investment management. “ investment management assistant ” means a person who performs the duty of assisting
appointed or assigned by a fund management company to consider and determine the scope of investment of mutual fund, private fund or derivatives investment management; “ investment management assistant
Objectives of practice guidelines for business continuity management The SEC provides this practice guidelines for being a guideline in practice through which covers a critical matter of business continuity
content cover the following matter [M] · Security of the Information Technology of a Securities Company. · Segregation of Duties. · Physical Security. · Information and Network Security. · Change Management
” means a person assigned by director of a juristic person to take the highest responsibility in managing such juristic person, no matter what the title is. “Custodian” means private fund custodian
company whose size is significant in comparison with the size of the holding company. (3) Major shareholders’ agreement (if any) In the event that the major shareholders make an agreement on a matter that