effect from the behavior of prohibited characteristics such as impact to money market or capital market, the public in general or a specific group of people, etc.; (b) the significance of the behavior of
control and follow up measures to ensure effective implementation . Clause 4/1. The applicant for a derivatives business operator registration in the category of derivatives dealer under Clause 2 (4) shall
Capital Market Business . Clause 5 In case an independent director dies, resigns or vacates from the position, an intermediary shall proceed to have a new one for the replacement within 90 days as from the
authorized to make decisions on company’s business operation on behalf of the board of directors; “Department director” means any person who is responsible for the internal operation of a department in the
THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
regulator. “ market maker ” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net asset value of such ETF units
per the form and procedures provided in the Office’s electronic work system together with documents evidence or a reference of course attendance under (1); (3) pay the renewal fee for approval to be
arising from or related to its use. ------------------------------- Notification of the Capital Market Supervisory Board No. TorThor. 8/2551 Re: Rules, Conditions, and Procedures for Applying for Permission
authorized to make decisions on company’s business operation on behalf of the board of directors; (5) “Department director” means any person who is responsible for the internal operation of a department in the
return, except for estimated return specified in Clause 9; (3) information that urges investors to purchase investment units within a certain timeframe or by a certain time, except for the advertisement of