every person holding the position equivalent to the fourth rank", the departmental manager of such departments should not be considered as “executive". 2. In order to determine who is regarded as “person
manager of such departments should not be considered as “executive". 2. In order to determine who is regarded as “person holding executive position in Accounting or Finance Department whose rank is not
step ensures that the measure to be taken is appropriate, practical and respectful to stakeholders’ rights 6. The proposed rule is considered by the relevant sub-committee The sub-committee members
either wholly or partially until the said securities company rectifies such matter. In this juncture, the SEC may also order the securities company to undertake any step for the purpose of maintaining
, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
2.2 Securities trading by taking advantage of the information related to a trading orders of securities or derivatives of any client before completing the order of such client (Section 244/1 and
the program is that it must be demonstrated that internal information is not used to the benefit the executives. Criteria for consideration Contribution must be regularly made to the program in order to
related associations The SEC has the power to make an order for the directors or members to clarify about facts of the associations. The SEC or the officers are empowered to enter the association during the
the Securities and Exchange Act B.E. 2535; (b) net profit or not loss from operation during three consecutive years prior to the year of filing the application; (c) any step taken by the