under Chapter 1 and prohibited characteristics under Chapter 3; (b) stipulating or adopting standards and ethics regarding appraisal profession which are reliable and having mechanism to improve such
” means a person authorized by a company’s board of directors to assume the highest responsibility in the company’s management, regardless of his or her title; (3) “ institutional investor ” means an
substantiated by reliable documentation, including taking into consideration investment objectives, the level of knowledge, understanding, and experience in derivatives trading, the financial status, and the
information which include the following information: (a) financial status; (b) experience on investment or entering into any transaction; (c) knowledge relating to investment or entering into any transaction
SEC Secretary-General Ruenvadee Suwanmongkol said that the SEC emphasizes the role of the capital market in providing reliable and sufficient information to support investors' decision making
shall provide sufficient data or documentary evidence to ascertain the client’s investment objectives, knowledge, understanding and experience regarding securities investment for the purpose of
client, the securities company shall provide sufficient data or documentary evidence to ascertain the client’s investment objectives, knowledge, understanding and experience regarding securities investment
have personnel with knowledge, capability or experience that can be of use in the undertaking of derivatives broker business, sufficient to efficiently undertake derivatives business. Clause 10