may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being
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
assigned by such claimant; “SET” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and Exchange Commission. Chapter I General Provision ________________________ Clause 4. The
Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5
company or a public limited company; (8) “ conglomerate ” means a group of legal entities having relationship in respect of shareholding structure, whereby all legal entities in such group have relationship
position; (6) Fees charged on the derivatives transaction. Clause 4. Derivatives broker must show in the evidence of margin call at least the information as set out under Clause 3(1) and (3) as well as the
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
new money laundering and financing of terrorism techniques. The timeframe for trainings shall be set out as the securities company deems appropriate. Chapter 2 Know-Your-Client / Customer Due Diligence
objective in undertaking fund management business for short and long term. Objective should be set for the short-term plan and criteria/factor for evaluation of the accomplishment of the plan should be
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the