or person who is proposed to be an executive or person with power of control of a company or subsidiary: O yes (please specify in detail) name……………………relationship……………………... O being an executive of the
from the Office prior to such expansion or change. In the case where the management company has been permitted to establish a branch office which is not an online branch, the management company shall
available risk. In case of damage prevention, it has an objective for preventing information and computer system from available risk according to a content cover the guideline for entering the computer centre
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
obligation etc.. 3. Securities purchased under a reverse repurchase agreement means a loan with an agreement to accept the transfer of a financial asset from the other party in exchange for cash or in return
Office. It is important to note that this is an unofficial English translation which has not been subjected to an official review by the SEC Office. Readers should be aware that only the original Thai text
advisory service, ranging from the level of the department director to the manager; “department director” means any person who is responsible for the internal operation of a department in the company
(Translation) (Translation) PAGE (Translation) 3 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC
understanding of general laws related to the profession. The qualification will be considered from the personnel’s: □ (a) First name, last name, and education; □ (b) Work experiences, given with specific
21. Management company may obtain the soft commissions for fund from person who is a service provider due to engage the service from such person concerning management of fund, but shall comply with