Board concerning Rules on Personnel in the Capital Market Business . Clause 3 It shall be deemed that a derivatives intermediary has obtained an approval from the SEC Office to appoint a person to be
concerning Rules on Personnel in the Capital Market Business. Clause 3 It shall be deemed that a derivatives intermediary has obtained an approval from the SEC Office to appoint a person to be director or
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
the Board. She obtained a B.A. and an M.A. in Economics from Keio University, Japan and a Ph.D. in Economics from Washington University, USA. She was Deputy Governor, Financial Institutions Policy Group
bought in the first quarter of 2020. Liabilities and Shareholder’s Equity The Company’s total liabilities as of the period ending 31 March 2020 was 8,772.5 million Baht higher than the same period last
1,699 million baht increase 20% compared with the same period last year the said collection increased from the previous quarter of 2020. In the past 6 months, the company has bought a total debt 1,983
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