meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company. (2) “Property Fund
, managers, or the officers of equivalent positions with different naming of the digital business operators Clarifications on preparation of reports for digital asset operators Related Rules and
advisor. (5) Directors, managers, the executives of the investment banking unit adhering to professional code of ethics of financial advisor, integrity, and commitment to going-concern business; having
Definition of “Executives” under Chapter 3/1 of the Securities and Exchange Act B.E. 2535 (1992) as Amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008)
-General SEC Board SEC Executives SEC Statement Market Review Action Plan 2008 Key Events in 2007 Corporate Finance Securities Business Market Infrastructure Development Enforcement International Relations
beneficiaries or clients, communicate them to portfolio managers and other agents employed and ensure they are being met. They need to oversee actively, the management of risk and the work of all their agents
compared with the preceding year. □ 2. Supporting documents for consideration under Clause 4 (2): □ (1) Violation record, under the law specified in the Notification, of an applicant, directors, managers and