functions under Clause 4(1) are persons holding the following positions, excluding the person under Clause 10: (1) director; (2) general manager ; (3) person holding a position equivalent to the positions

. Clause 5 Personnel in the capital market business performing functions under Clause 4(1) are persons holding the following positions, excluding the person under Clause 10: (1) director; (2) general manager

there or have there been any principals or staff seconded on a “loan staff assignment” i.e secondment If so what are their roles at the client – are/were they in management positions? 7 Are there are any

of the Board of Directors so that investors will be able to analyze the composition, roles and responsibilities and appropriateness of the Board of Directors in consistent with the business demands in

attachments herein. 8.2 Executives Identify the names and positions of the executives of the Company and display the organizational chart. In case of a holding company, specify also the names and positions of

Commission No. KorThor. 66/2547 Re: Maintenance of Financial Positions of Person Licensed as Derivatives Agent dated 22 December 2004 as amended by the Notification of the Securities and Exchange Commission No

of the directors of the subsidiaries in Attachment 2. 10.2 Executives Identify the names and positions of the executives of the Company and display the organizational chart. In case of a holding

responsible for making decision on derivatives trading and managing risks of derivatives trading, and such personnel shall have knowledge, understanding and experience that benefit responsible jobs. (2) having

obligations under derivatives positions held by a client; (2) profits or any other interests obtained from derivatives trading of a client; (3) warehouse receipt, bill of lading, or any other instruments

administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions, who are responsible for the asset custody function