and Exchange Commission No. Sor Thor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
capabilities; · Experts are available, if needed; · Individuals meeting the criteria and eligibility requirements to perform engagement quality control review are available, where applicable; and · The firm is
premises with other people, the management company shall proceed as follows: (1) arrange to have space for the branch office to serve customers and to store documents separated from space that other people
(2003) which contains certain provisions in relation to the restriction of rights and liberty of persons which Section 29, in conjunction with Section 33, Section 34, Section 36, Section 41, Section 43
Exchange Act (No. 2) B.E. 2542 (1999) and Section 18 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons, which Section 29
management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to
holding in, securities, derivative, or any other properties, or invest in or procure for profit by other means. "private fund management" 2 means the management of funds of a person or group of persons who
) information assets, i.e., information, electronic data, and computer data. Clause 3 This Notification shall apply to the persons licensed to engage in securities business or derivatives business in the
issues the following regulations: Clause 1. The following juristic persons shall be institutional investors under Section 3 of the Derivatives Act, B.E. 2546 (2003): (1) a commercial bank; (2) the Bank of