, appoint the external auditor, and make decisions on any transactions that affects the company, such as dividend payment, amendments to the company’s articles of association or bylaws, capital increases or
22) |- Protection of Customer Assets (Section 33) |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing representatives (Section 18
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
must declare its intention to appoint debtholders’ representative since the beginning process that it applies for approval of debenture issuance to SEC because the appointment during the tenure of such
to Appoint a Personnel to be a Director or a General Manager of the Securities Business B.E. 2553 dated 1 February B.E. 2553 ; (2) Notification of the Office of the Securities and Exchange Commission
to Appoint a Personnel to be a Director or a General Manager of the Securities Business B.E. 2553 dated 1 February B.E. 2553; (2) Notification of the Office of the Securities and Exchange Commission
of the Securities and Exchange Commission No. SorNor. 5/2550 Re: Establishment of a Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries