to be reported to their Board of Directors at least on an annual basis. Clause 7. Securities company shall arrange for on-going training for all employees, including those delegated by the companies
which has similar supervision to that of the Office; (6) “Company” means any limited company or public limited company; (7) “Holding company” means any company undertaking core business in holding shares
: “ intermediary ” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or
the service providers are as follows: (1) The Stock Exchange of Thailand or; (2) Limited company or public limited company established by the Stock Exchange of Thailand and hold shares not less than
on the operation of intermediaries, investors, and confidence in the capital market. Senior management, therefore, has an important role in managing the implementation of information technology in the
and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By
procedures assign responsibility for review of all reports, financial statements, and working papers to a reviewer who is senior to the preparer? If yes, please describe the policies and procedures If no, how
Section 90 Securities and Exchange Act B.E. 2535 Section 90. Securities business can be undertaken only by formation of either a limited company or a public limited company, or by a financial
company under the law governing securities and exchange; (7) “company” means a limited company or a public limited company; (8) “conglomerate” means a group of legal entities having relationship in respect