time, the securities company may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the securities company
paragraph, the securities company shall arrange to have a new manager within one month unless obtain a waiver from the Office. In the mean time, the securities company may assign an officer of the head office
mean time, the derivatives brokers may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the derivatives
mean time, the derivatives brokers may assign an officer of the head office or the manager of other full- service branch offices to temporary acting as a manager. Clause 6. In case where the derivatives
within one month unless obtain a waiver from the Office. In the mean time, the derivatives brokers may assign an officer of the head office or the manager of other full- service branch offices to temporary
Trust for Transactions in Capital Market Act B.E. 2550 (2007). Clause 15/1 7 A trustee shall assign REIT’s management to a REIT manager who has obtained an approval from the SEC Office, unless in case of
system, (4) operational and IT management system, (5) database system, and (6) compliance system. Besides, derivatives agents must designate responsible officers to ensure compliance with all rules and
period of sale and allocation. 2. Appoint financial advisors and / or underwriters and / or credit rating agencies of issuers of securities and / or securities and / or any other persons in the event that
, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to appoint new personnel having qualifications as specified in Notification of the Capital Market
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