able to show that any individual being its director, manager or person with power of management who is in charge of derivatives business of the applicant meets the requirements and does not have any
company” means any company licensed to undertake securities business; (2) “Executive” means director, manager or person with power of management; (3) “Person with power of management” means executive
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
operating system that is appropriate for servicing customers and is consistent with practices set out under the rules prescribed by the law governing securities and exchange, and that its head office is able
Exchange or the securities trading center with the approval of the Office, as the case may be; (2) short sale of securities which are debt instruments, whereby the Office also has the power to issue
through an agent who is not able to reach a satisfactory solution of the customer; (3) record the complaint in (1) from the customer in writing with the customer’s signature for certification prior to the
. In the mean time, the securities company may assign other officers to temporary acting as a manager. Chapter 3 The Power of the Office and Notify of the Closing of Branch Office
derivatives brokers may assign other officers to temporary acting as a manager. Chapter 3 The Power of the Office and Notify of the Closing of Branch Office ----------------------------- Clause 15. Where it
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
, 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