place; and (2) in cases where the person appointed as a fund manager is an employee of the investment management company, holding a position having either of the following characteristics: (a) a position

tender offer for securities of the business for acquisition of securities for business takeovers; (7) “waiver applicant” means an applicant for a waiver to acquire shares without having to make a tender

in order to stimulate the investor to invest in units; “underwriter” means a securities company of which license is allowed to underwrite units; “associated person” means any person having one of the

in accordance with Section 8 shall be Thai nationals and shall not have the following prohibited characteristics: (1) being an incompetent or quasi-incompetent person; (2) being or having been a

Selling of Securities in Foreign Country by Securities Company Without Having Possession

Having joined SEC since 1999, Assistant Secretary-General Archinee Pattamasukhon holds a bachelor’s degree in Business Administration (Finance), the University of the Thai Chamber of Commerce

exchange or clearing house. Futures Exchange - Being public limited company with registered paid up capital not less than 100 million baht. - Having the Board of Directors comprising (1) at least one

following qualifications: Being (1) securities companies having license to operate securities brokerage business or securities dealing business (which is not limited only to debt instrument dealing

category of shares (Private Placement) without having obtained an approval from the SEC Office. SEC Act S.33 Settlement Committee Meeting No. 4/2019 Settlement Committee Order No. 17/2019 Dated 20/11/2019

category of shares (Private Placement) without having obtained an approval from the SEC Office. SEC Act S.33 Settlement Committee Meeting No. 4/2019 Settlement Committee Order No. 17/2019 Dated 20/11/2019