derivatives broker or its staffs. Clause 3. Derivatives broker shall not appoint any person to be its agent to undertake custody of customer assets. (Translation) 2 Clause 4. In taking custody of customer
company. Clause 2. A securities company may appoint or allow another securities company’s executive to be or perform duty as its executive or advisor upon being granted approval from the Office on condition
) “Department director” means any person who is responsible for the internal operation of a department in the company. Clause 2. A securities company may appoint or allow another securities company’s executive to
or registration as securities business operator by foreign regulator, providing that ETF operator shall also appoint a contact person in Thailand for the purpose of coordinating and facilitating the
Appoint as Executive Report/Form (Notification of Securities and Exchange Commission) Form 103-1 List of Information Intend to Examine by the Securities Company Report/Form (Notification of Securities
been reviewed by Certified Auditor and has been approved by the Board of Director. Board of Directors’ meeting No. 2/2020 held on February 27, 2020 has resolved to appoint Mr. Pornchai Kittipanya-Ngam
Fund ___________________ Clause 3. In appointing manager of infrastructure fund, management company shall appoint from person approved by the SEC Office under the criteria in Chapter 2 and the appointed