intermediary; “executive” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
intermediary; “executive” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
@sec.or.th website : www.sec.or.th [ CONTENTS ] 16 Message from the Chairman Message from the Secretary-General Mission and Goals Board of the SEC Executive Officers of the Office of the SEC G OA L 1 Develop
which objectives is for promoting and supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securities and Exchange Commission. “ financial institution ” means
supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securities and Exchange Commission. “financial institution” means a financial institution under the Interest on
…………………………………………… In offence relating to …………………………………………… Under the law…………...………………. (attachment) (if any) O No (6) is or previously has been an executive who have participated in causing damage or must be jointly
offence relating to …………………………………………… Under the law…………...………………. (attachment) (if any) O No (6) is or previously has been an executive who have participated in causing damage or must be jointly responsible
Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments (No. 2) dated 25 March 2009. Clause 3 In this Notification, unless otherwise specified: (1) “ executive ” shall have the same
Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments (No. 2) dated 25 March 2009. Clause 3 In this Notification, unless otherwise specified: (1) “executive” shall have the same
Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments (No. 2) dated 25 March 2009. Clause 3 In this Notification, unless otherwise specified: (1) “executive” shall have the same