group of persons who authorized a management company to manage a private fund; “Liquid asset” means assets as follow: (a) Cash or deposit money; (b) Certificate of deposit or promissory notes issued by a
arrange for the branch office to have a manager appointed by the head office to manage the operation and personnel of the branch office within the permitted scope of services. Clause 10. The online branch
been permitted to establish a branch office which is not an online branch, the management company shall arrange for the branch office to have a manager appointed by the head office to manage the
experienced employees whose interests are aligned with the vision, objectives and values of the organization; 7 Statement of Intent (2017) Effectively manage resources to maintain financial stability. The
auditors and perform the audit under the provisions of the law governing auditors and any additional regulations specified in the notification of the SEC. The approval of the auditor under the first
auditors and perform the audit under the provisions of the law governing auditors and any additional regulations specified in the notification of the SEC. The approval of the auditor under the first
Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with
securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the
warning to the client about material information which is likely to affect the client?s benefits was considered failure to perform the duties with responsibility and due care as market professionals under
M.L. Apisada Chayangkura (formerly M.L. Phatarawadee) M.L. Apisada Chayangkura (formerly M.L. Phatarawadee), former director of SECC Holding Co., Ltd. (SECC Holding), failed to perform her duties as