underwritten by them. The permission will cover either trading to hedge derivatives positions that underwriters already have or trading of shares in SET50 or SET100 subject to certain conditions. In addition
Guidelines Regarding Roles and Expectations of Directors of Securities Companies and Derivatives Business Operators
Excellence and (2) Stakeholders Relations whose roles include promoting and facilitating nationwide democratized access to products and services in the capital market. Moreover, the Corporate Finance
the time of the misconduct from 2015 to 2017 holding the positions of director and executive of NMG – made a joint decision to approve, order and arrange a recording of false advertising income in the
roles and responsibilities of both positions. To ensure effective checks and balances of power, the two positions should be held by different individuals. 3.2.3 The chairman is responsible for leading the
December 2008). Q: What should the company do if the same person holds the positions of Chairman and CEO? A: The company should clearly state the roles and responsibilities of each position, particularly
) providing analysis, advice or planning of investment for clients. Clause 5 Personnel in the capital market business performing functions under Clause 4(1) are persons holding the following positions
development SEC Roles Related organizations Related persons Sustainable development roadmap Rules/Regulations SEC Securities and Exchange Act B.E. 2535 (1992) Related notifications I Code Investment Governance
development SEC Roles Related organizations Related persons Sustainable development roadmap Rules/Regulations SEC Securities and Exchange Act B.E. 2535 (1992) Related notifications I Code Investment Governance
SEC Roles Related organizations Related persons Sustainable development roadmap Rules/Regulations SEC Securities and Exchange Act B.E. 2535 (1992) Related notifications I Code Investment Governance Code