, or a client who is a provident fund or a private fund shall have prior granted a written approval [for such outsourcing], as the case may be; (b) there shall be a report on supervision of another
intermediary ; “ executive ” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
intermediary; “executive” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
intermediary; “executive” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
Entities in order to Ensure Confidence of the Investing Public ■ Supervision of Market Intermediaries ■ Inspection of Listed Companies and Market Intermediaries ■ Regulation and Law Enforcement G OA L 4
on the topic, “A New Age of Fundraising,” emphasizing the role of SEC in creating opportunities for businesses of all sizes to access sources of fund, while the disclosure-based supervision will not
holding or resuming the position of director, manager, person with the managerial power, or advisor to a financial institution on the ground of having prohibited characteristics under the Law on Supervision
://www.sec.or.th/TH/Documents/AboutUs/KeyPerformance-2561.pdf English (United States) CMSB waratchya affairs, strategies; and currently overseeing policy and supervision of intermediaries, asset management
Division comprises Intermediaries Supervision and Development Department, Intermediaries Inspection Department and Licensing Department. 2. Deputy Secretary-General Vasant Thienhom is in charge of the
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