- (1) not have financial condition that is likely to cause damage or have any other circumstances showing the holder’s financial hardship; (2) within three years preceding the year of filing application
definition of “executive" means director, manager, or the first four executives succeeding the manager and every person holding the position equivalent to the fourth rank including person holding executive
Notifications relating to Issuance and Offer for Sale of Securities, dated December 15, 2008 (B.E. 2551), the definition of “executive" means director, manager, or the first four executives succeeding the
responsibility for private fund management. Directors, managers and persons with managerial authority who are responsible for managing private fund for legal entity under the first paragraph shall also have
integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure that the capital market will be developed toward sustainable growth and generate positive impacts on the
from a closed-end fund to an open-end fund is originally specified in the scheme prior to the first offering of the investment units, or a resolution of approval is obtained from the unitholders with
from a closed-end fund to an open-end fund is originally specified in the scheme prior to the first offering of the investment units, or a resolution of approval is obtained from the unitholders with
law on life insurance, such branch of foreign commercial bank or foreign life insurance company shall also have qualifications specified under the first paragraph. Clause 3 Applicant for securities
with the SEC via the SEC Office in Form 90-6 attached herewith together with two copies thereof. In filing of application under the first paragraph, securities company shall file with the following
persons with managerial authority who are responsible for managing private fund for legal entity under the first paragraph shall also have qualifications specified under Sub-clause (3) and (4) Where the