director with power of management to the position of director without power of management, it shall be deemed that the securities company has already obtained the approval from the SEC Office. In this regard
, having obtained sufficient and appropriate audit evidence, concludes that misstatements, individually or in the aggregate, are material, but not pervasive to the financial statements ; from ( 2.1.1
unit related to capital market.5 − − − 7 Fund manager. − − − 8 Former capital market investment analyst on fundamental factors who later obtained an approval as investment analyst or investment planner
: Clause 1 Any securities company obtained some but not all of the securities business licenses in the category of securities brokerage, securities underwriting and securities dealing, may file an
financial institutions established by any other law which have obtained securities business license after acquiring a status as financial institution; (6) a person who obtains derivatives business license in
obtained securities business license after acquiring a status as financial institution; (6)1 a person who obtains derivatives business license in the category of derivatives brokerage limited to precious
obtained securities business license after acquiring a status as financial institution; (6)1 a person who obtains derivatives business license in the category of derivatives brokerage limited to precious
other law which has obtained securities business license after having the status of financial institution; (3) commercial bank; (4) other financial institutions as specified in the notification of the SEC
. (UNOFFICIAL TRANSLATION) 2 (2) In respect to the following cases, it shall be deemed that a derivatives business operator has already obtained an approval from the SEC Office for the appointment of its director
Securities and Exchange Act B.E. 2535, the Finance Minister prescribes the Ministerial Regulation as follows: Clause 1 Any securities company obtained some but not all of the securities business licenses in