Office’s approval, thereby having a possibility to cause a lack of confidence in the business of investment management as a whole or giving rise to damage to the reputation or the financial condition or the
Office’s approval, thereby having a possibility to cause a lack of confidence in the business of investment management as a whole or giving rise to damage to the reputation or the financial condition or the
Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
access to inside information among work units and personnel; and internal control measures to audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of
and personnel; and internal control measures to audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and
Monitoring, supervisory and enforcement mechanism 11 3.6 National regulations regarding the approval process, and other requirements 12 Appendix 1: Recognised ACMF member countries for ACMF Pass framework 13
ended 30 September 2019 totaled THB 177.37 million, an increase of THB 69.54 million or 64.49% from the same period of previous year. This was due to (1) Rise of the employee and executive expenses of THB
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and evidence relating to the operation to facilitate the
audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and evidence relating to the operation to facilitate the