opinion of an independent specialist on the technology used in the infrastructure business (technological feasibility) if that technology has never been adopted in Thailand or is an advanced technology that
each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to
date of approval by the general meeting of the shareholders but not later than four months from the end of such financial year, unless otherwise specified by the Office.
the designated matters. SECTION 12. At least half of the subcommittee members shall form a quorum. In the subcommittee’s meeting, if the chairman is not present at the meeting or is unable to perform
Market Supervisory Board under Section 60 of the Securities and Exchange Act (No. 4) B.E. 2551 (2008), at the meeting no. 6/2009 held on 13 May 2009 resolved to grant approval for securities companies to
investment units which are entitled to voting; (2) In cases where the resolution is requested by convening a meeting of unitholders, the resolution shall be passed by at least three-fourths of the total
; (4) a photocopy of the minutes of the meeting of the existing trade association showing the meeting’s resolution regarding its intention to become an association related to securities business; (5) a
Shareholders’ Meeting by the Management Company and Information Disclosure _____________ By virtue of Section 123 of the Securities and Exchange Act B.E. 2535 (1992) and Clause 2(1), Clause 8, Clause 10, Clause
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
. Clause 5. The securities company or the finance and securities company shall report the name of the auditor appointed for each accounting year in accordance with the resolution of its shareholders’ meeting