) “Department director” means any person who is responsible for the internal operation of a department in the company; (6) “Work experience” means work experience in a financial institution or other organization
Section 103 PAGE 2 Securities and Exchange Act B.E. 2535 Section 103. No securities company shall appoint or allow any person with any of the following prohibited characteristics to be or to perform
” means a securities company licensed to undertake securities business in the category of private fund management; “Marketing Representative of Private Funds” means a person appointed by a private fund
Exchange Act, B.E. 2535 (1992) or the mutual fund management company; (2) Any person, who take responsibility directly in the private fund management in the case where private fund management company is not
private fund management; “connected person” 3 means the following persons unless otherwise prescribed herein: (1) a person with a relationship or connection to a management company or a fund according to
หน่วยลงทุน P = Person (บุคคลธรรมดา) C = Company (นิติบุคคล) เป็นตัวอักษร “ P ”, “ C ” เท่านั้น ไม่ควรปล่อยให้เป็นช่องว่าง (NULL) Char(1) 9 วันที่เปิดบัญชี Char(2) 10 เดือนที่เปิดบัญชี Char(2) 11 ปีที่เปิด
regulations: Clause 1 In this Notification: (1) the term “company,” “parent company,” “subsidiary company,” “major shareholder,” and “controlling person” shall mutatis mutandis have the same meaning as defined
) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: (1) the term “company,” “parent company,” “subsidiary company,” “major shareholder,” and “controlling person
person of the company. Such authorized person must not be either a staff who prepares client’s assets account or a staff who keeps the client’s assets. Clause 6. A securities company must issue rules or
damage to the company or the shareholders or any ill- gotten gain by myself or any other person; (2) Any behavior in respect of disclosure or dissemination of information or statement concerning the