appointed or assigned by a fund management company to consider and determine the scope of investment of mutual fund, private fund or derivatives investment management; “ investment management assistant
consider and determine the scope of investment of mutual fund, private fund or derivatives investment management. “ investment management assistant ” means a person who performs the duty of assisting
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
shall ensure that the identification document bears the customer’s photo. Clause 10. In conducting the KYC/CDD process under Clause 8, the securities company shall classify, and apply the scope and
, 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
possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.
shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the
support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are
or trustworthiness of the system of trust business, the SEC shall have the power to specify conditions for undertaking trust business. In cases where there has been a change in the necessary
, the management committee, the audit committee and the remuneration committee, and the scope of authority and responsibilities of each committee; (2) Identify the audit committee members who have