the audit firm who has an influence on the applicant’s giving of opinions are not employee or worker of the company or its subsidiaries for which the applicant is the auditor; 5. The audit firm does not
Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of
position in a political party unless having vacated such position not less than one year; (5) being an officer or an employee of the SEC Office; (6) being a manager or a person with power of management of
organization and worker of securities company’s. Such measure shall, at least, having measurement protecting to access internal information between organization and worker who have opportunity to know any
” 3 means a fund established for employees of multiple employers. “wages” means the money paid by the employer to the employee as remuneration for working, whether determined, calculated or paid as the
company shall appoint only one person from such register to be Fund Manager according to rules under Clause 8, or Clause 17 the first paragraph (3); (2) in case the management company appoints its employee
management company appoint its permanent employee to be Property Fund Manager, such person shall hold the position with either of the following characteristics: (a) not causing any conflicts of interest with
conflicts of interest; (b) not be an employee, staff, advisor who earns salary, or controlling person of the securities company, parent company, subsidiary company, affiliate company, or person who may have
(2) and Clause 13 (3); (2) the appointee shall be a permanent employee of the management company and able to work full-time for the management company except that such person holds the position of
company shall proceed as follows: (1) buy or sell securities according to the bid and offer price, and shall make a clear understanding with the counterparty regarding the expiry time of such bid and offer