company” means any company licensed to undertake securities business; (2) “Executive” means director, manager or person with power of management; (3) “Person with power of management” means executive
director, manager or person with power of management; (3) “Person with power of management” means executive director, deputy manager, assistant manager, department director, branch manager and shall also
(%) ……………………. ………………… ……………………. ……………………. ………………… ……………………. ……………………. ………………… ……………………. O no 5.2 Being an employee, officer, advisor with permanent salary or power of control of a company, parent company, subsidiary, affiliate or being a person who may be in conflict: O yes (please
licensed to undertake securities businesses under the law on securities and exchange; “Executive” means director, manager or person with power of management; “Person with power of management” means executive
Minister in charge of the enforcement of this Act. SECTION 4/1.( The SEC shall have the power to determine the undertaking of business in any manner is not a securities business under this Act. SECTION 5.4
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
directly or indirectly holds shares of the other party in the amount exceeding fifty percent of total issued and paid-up shares; or (2) In the case where the party that manages funds has the power to control
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations 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