under a specific law; (2) being able to show that a work unit responsible for providing services as securities registrar will be established separately from other work units; (3) being able to show that
who makes a dispute resolution, except for the case under Clause 15. The parties shall select the arbitrator from the arbitrator list of the Office by the following methods: (1) the claimant shall
control and good practice; (3) being able to show that the capital market personnel performing duties in any of the following areas have the qualifications and do not have any prohibited characteristics
estate or leasehold right of Property Fund for Solving Financial Institution Problems or Property and Loan Fund; (5) “Register of Persons Qualified to be Property Fund Manager” means the list of persons
may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being
(1) List of major shareholders Identify the names of the following shareholders, the number of held shares and the latest shareholding proportion of the total shares. In this regard, the shareholding
public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following information: (1) list of name of persons who
. (2) “Fund Manager” means mutual fund manager or private fund manager; (3) “Register of Persons Qualified to be Fund Manager” means the list of persons approved by the Office of the Securities and
งานกำกับดูแลการปฏิบัติงาน ต้องติดตามการทำธุรกรรมที่เกี่ยวข้องกับหลักทรัพย์ในบัญชีดังกล่าว (watch list) และบัญชีรายชื่อ หลักทรัพย์ที่บริษัทหลักทรัพย์ต้องจำกัดการทำธุรกรรมที่เกี่ยวข้องกับหลักทรัพย์ในบัญชี
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more