appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.
, registration fees, approval fees or operating fees; (3) the determination of scope and practices as regards the duties of the subcommittees and relevant officers under this Act; (4) the prescription of a
Commission No. SorThor. 67/2543 Re: Rules for Registration of Marketing Officers dated 21 December 2000; (2) The Notification of the Office of the Securities and Exchange Commission No. SorThor. 10/2544 Re
use in solving problems, on which companies shall inform its responsible officers. Also, when critical business functions have been restored to normal, companies shall notify the SEC to acknowlege as
_____________________________________________________________________ 7. I/We affirm that at all times I/we have officers with the relevant qualifications specified in section 6 of the Passport Rules (Annex 3) of the MOC, and meet the financial resources test and 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
the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company. (2
compared with the preceding year. □ 2. Supporting documents for consideration under Clause 4 (2): □ (1) Violation record, under the law specified in the Notification, of an applicant, directors, managers and
management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to