of the SEC. “competent officer” means any person appointed by the Minister to perform duties under this Act. “SEC Office” means the Office of the Securities and Exchange Commission under the Securities
work is to provide services for other persons or for the benefit of the company itself; (4) “Executive director” means any person who is appointed by the board of directors as executive director or
) “Executive director” means any person who is appointed by the board of directors as executive director or authorized to make decisions on company’s business operation on behalf of the board of directors; (5
securities brokerage, securities dealing, investment advisory service, securities underwriting, mutual fund management or private fund management; “ agent ” means a person who is appointed by a securities
brokerage, securities dealing, investment advisory service, securities underwriting, mutual fund management or private fund management; “agent” means a person who is appointed by a securities company as its
qualified to be appointed as fund manager; (4) “Manager” means a person assigned by the board of directors to take the highest responsibility in managing the company, regardless of the job title; (5
person who is appointed to be director or manager and the securities company by its authorized director, or in case of authorization by the securities company, the certified signatory shall at least be the
million or equivalent to 35.36% when compared with the 1st quarter of 2018 because the Company appointed Management team to oversee the effectiveness of all functions. Page 3 of 3 Loss on Exchange Rate The