; (6) Being an incompetent or quasi-incompetent person; (7) Being a person whose name appears on the list of persons considered by the Stock Exchange of Thailand to be unsuitable to act as an executive
period; (2) in case such person has been vacated from the approved position due to any cause other than being revoked the approval by the SEC Office such as the expiration of the term of office and such
the following characteristics: (1) being a product issued or offered for sale aboard, and the issuer or the offeror has no intention to offer such product in Thailand; (2) being a product with the
general public as being ready to engage as an agent in the business of trading in derivatives with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the
the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an
and Securities Being Underlying of ETF by a Securities Company _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act
Re: Approval for Investor Contacts and Standards of Conduct dated 3 December 2004; “Authorized officer” means any person who is registered by the Stock Exchange as agent of securities company to trade
concerning the Determination regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor ; “ client ” means user of an intermediary ’s services; “ Stock Exchange ” means
concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ client ” means user of an intermediary ’s services. “ Stock Exchange ” means the Stock Exchange of