; “manager” means a person appointed by the board of directors of an investment advisory company to assume the highest responsibility in the management of the investment advisory company, regardless of the
of Thailand and Office of the National Economic and Social Development Board data (NESDB), Thai economy in 2020 expanded by 2.4%, decreased from 4.2% in previous year. This was because the global
procedure of such systems in written with an approval of Board or Executive Board of securities company. Clause 5. Securities company shall prescribe a measure protecting internal data access between
written with an approval of Board or Executive Board of securities company. Clause 5. Securities company shall prescribe a measure protecting internal data access between organization and worker of
, risk management system, and a system protecting conflict of interest and shall prescribe rule and procedure of such systems in written with an approval of Board or Executive Board of securities company
reporting of suspicious transactions. The policy mentioned in the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional
the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional structures indicate that it is acting as a business unit
suspicious transactions. The policy mentioned in the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional structures
Fund Act, the Derivatives Act, or the rules prescribed by the Securities and Exchange Commission, the Capital Market Supervisory Board, the Office, the Board of Directors of the SET, or the SET; (2) The
Fund Act, the Derivatives Act, or the rules prescribed by the Securities and Exchange Commission, the Capital Market Supervisory Board, the Office, the Board of Directors of the SET, or the SET; (2) The