interpretation of the “Executive” in relation to “person holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager” Regarding the Notification of the
than departmental manager" already falls within the scope of “the first four executives succeeding the manager and every person holding the position equivalent to the fourth rank", the departmental
their duties for the best interests of the company. Therefore, A person who has a conflict of interest must not do business which is in competition with the company. There must be no related party
investment decision of the public, appraisal requires a knowledgeable, capable and responsible person to perform. The SEC have stipulated the undertaking of the asset appraisal by an appraisal company whose
, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
over five years per period 2.1.2 Qualification of Approved Auditor An auditor to be granted approval by the SEC shall possess qualifications of an individual person and of the firm to
allow to be done by virtue of provisions of law, Finance Minister hereby issues Ministerial Regulation as follows - Clause 1 Person eligible to apply for securities business license in the category of
Ministry of Finance Re: Prescription of Conditions for Securities Company to Apply for Approval of Person to be Major Shareholder (as amended) Clause 1 In this Notification: "securities company" 1
Constitution of the Kingdom of Thailand allowed to be done by virtue of provisions of law, Finance Minister issues Ministerial Regulation as follows: Clause 1 Person eligible to apply for securities business
under the Securities and Exchange Act B.E. 2535 is hereby repealed. Clause 2 Person intending to apply for operate securities business license in the category of mutual fund management shall be limited