compliance unit in which acceptable and reliable standards are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker. Clause 8 The derivatives broker shall put in
adverse impacts of the COVID-19 crisis as part of their efforts to revive their economies. Moreover, major central banks injected liquidity into the global financial system, led by the Federal Reserve which
services in some cases. Gold consumers and investors are therefore advised to use discretion and exercise prudence in purchasing or selling gold only with reliable gold business operators. For further
juristic entity, the shareholding of Directors and Executives in the work division involved in the offer for sale of structured notes of such juristic entity shall also be considered. 4 Part 1 General
), Managing director (MD), president, or the head of the company’s management team. A director who has no position in the company’s management team, and is not a part of the temporary management of such a
the company to follow his order in policy making, management or operation of the company; (d) a person who by behavior takes part in the company’s operation or has responsibility for the company’s
- Part 1 Executive Summary (Q3) - As of 31Jan22 02 กุมภาพันธ์ 2565 [เอกสารแนบอื่น ๆ] 2. Solar - Part 2.1 Use of Proceeds - As of 31Jan22 02 กุมภาพันธ์ 2565 [เอกสารแนบอื่น ๆ] 3. Solar - Part 2.2.1 Business
office” means a governmental office which is classified to be a part of central government under the Law on State Administration1. “significant shareholder” means a person holding shares of any
securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has prescribed, the Office shall have the authority to waive
deceases, resigns or SEC has annulled the approval, or securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has