authorized to make decisions on company’s business operation on behalf of the board of directors; (5) “Department director” means any person who is responsible for the internal operation of a department in the
Commission ______________________________________________________________________ Remark : The rationale for issuing this Notification is to ensure that the person granted a license to be derivatives broker
regulator. “ market maker ” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net asset value of such ETF units
insurance policy issued by life insurance company to the insured as evidence that the insured and the life insurance company have signed a contract of life insurance and a contract of investment in investment
authorized to make decisions on company’s business operation on behalf of the board of directors; “Department director” means any person who is responsible for the internal operation of a department in the
a clearly statement that the securities company is not allowed to give an advice concerning securities investment to customer. Clause 8. The securities company shall appoint a person responsible for
shall also disclose the used assumption in the manner that is clear and easy to understand; (7) the estimated return or auto-redemption rate must be accompanied by the following statements: (a) in case of
advertisement; (3) clarify complete and accurate information to investors; (4) act or refrain from doing any acts within a specified period of time to ensure that the acknowledgement of information is accurate
that may cause a lack of independence in acting as the fund supervisor. Clause 4. Prior to the effective date of this Notification, any persons who act as a fund supervisor shall continue its operation
Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for ref (UNOFFICIAL TRANSLATION) PAGE Readers should be aware that only the