: Name/Position (at least CEO or equivalent): ____________________________________ Email address: ___________________________________________________________ Tel No.: _____________________________ Fax No
person within the firm, including CEO? Does the firm communicate to the person who take care of performance evaluation to consider the deficiencies found as part of evaluation? Does the firm communicate to
: Name/Position (at least CEO or equivalent): ___________________________________ Email address: ___________________________________________________________ Tel No.: _____________________________ Fax No
providing services under Paragraph 1, the derivatives dealer shall ensure that a chief executive officer or a person assigned by the client has already granted consent before the client engages in derivatives
: Name/Position (at least CEO or equivalent): ___________________________________ Email address: ___________________________________________________________ Tel No.: _____________________________ Fax No
Company’s contact person: Name/Position (at least CEO or equivalent): ___________________________________ Email address: ___________________________________________________________ Tel No
แพร่ไปแล้ว โดยคู่มือดังกล่าวส่วนหนึ่งกำหนดว่า ประธานกรรมการและผู้มีอำนาจสูงสุดของฝ่ายจัดการ (CEO in practice) ไม่ควรเป็น คนเดียวกัน สำนักงานจึงใคร่ขอความร่วมมือให้บริษัทหลักทรัพย์และตัวแทนซื้อขายสัญญาฯ
service provider is required; (2) a complete and updated summary report of the operational function outsourced to the service provider shall be prepared and submitted to the chief executive officer of the
Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the
purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of