damages arising from or related to its use. ---------------------- Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 26/2551 Re: Rules, Conditions and Procedures for Being Executive
securities, the terms “ warrant ” “ execise of rights under warrants ” “ institutional investors ” “ registration statement ” “ parent company ” “ subsidiary company ” “ executive ” “ major shareholder ” and
operational control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as
person who has a relationship with a director, an executive, a major shareholder or a controlling person of a securities underwriter in the following manners: (a) a spouse or a minor child of such person
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
Securities Institute and other training institutes accepted by the Office; “Executive” means any director, manager and executive director including deputy manager, assistant manager, department director and
qualification under (3) or (5), the securities company may be granted an approval from the Office only when the securities company cause the relevant executive or personnel who rendered the company into such
under (3) or (5), the derivatives broker may be granted an approval from the Office only when the derivatives broker cause the relevant executive or personnel who rendered the company into such
, reliable and efficient operating system to support an intermediary ’s business continuously in order that [i] the intermediary would be able to provide services for the best interests of a client , and [ii
investors to be able to make a comparison and monitor the operating results. In the case where the Company has reviewed the policy and/or the sustainability management objective during the past year, specify