and test check with various source documents. I. Financial Relationship II. Business Relationship III. Employment Relationship and Governance Role IV. Employment with Firm V. Long Association VI. Fees
company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment
opening accounts or engaging in business relationships with a securities company, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a
securities company as a source of contact for clients; and (4) complying with rules concerning analysis report translation specified by the bodies relating to securities business approved by the SEC office
virtue of Clause 5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to
Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office
license under this Notification; (5) “commercial bank” means any commercial bank in accordance with law on commercial banking or law on business of financial; (6) “securities company” means any securities
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 16. A derivatives business operator shall be a limited company or a public limited company, except for a derivatives advisor which may be an
law on commercial banking or law on business of financial; (6) “ securities company ” means any securities company under the law governing securities and exchange; (7) “ company ” means a limited
person to be an executive of the company or in cases other than (2), the derivatives business operator shall proceed the followings: (a) in case of an appointment of a person to be director or manager, the