testimony to competent officer - - 1 1 - - - - Failure to comply with the competent officer's order - - - - - - 1 2 Failure to uphold professional standards - - - - - - - - Grand Total 43 80 29 137 111 218 32
of the Securities and Exchange Commission under the law governing securities and exchange. “competent officer” means a person appointed by the Minister to act in accordance with this Royal Enactment
fund, the Government Pension Fund, provident fund or any other legal entities as specified in the notification of the SEC. 4 “competent official” means any person appointed by the Minister to perform
fund, the Government Pension Fund, provident fund or any other legal entities as specified in the notification of the SEC. 4 “competent official” means any person appointed by the Minister to perform
newly issued securities in the category of warrant (Employee Stock Option Program : ESOP) without having obtained an approval from the SEC Office. SEC Act S.300 in conjunction with 33 Settlement
2000 shall be repealed. Clause 2. In this Notification, “Mutual fund manager” means a director or an employee of a management company who is authorized by the management company to make decisions
2000 shall be repealed. Clause 2. In this Notification, “Mutual fund manager” means a director or an employee of a management company who is authorized by the management company to make decisions
: Rules, Conditions and Procedures for the Approval of Mutual Fund Managers dated 31 July 2000 shall be repealed. Clause 2. In this Notification, “Mutual fund manager” means a director or an employee of a
qualified company secretary depends on the board's discretion. Q: Are the company's personnel, e.g., director, executive, employee, secretary, board member or any other positions, eligible to hold the
qualified company secretary depends on the board's discretion. Q: Are the company's personnel, e.g., director, executive, employee, secretary, board member or any other positions, eligible to hold the