Rules on Managing Derivatives Investment by Registered Derivatives Investment Management Company
control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or https://www.sec.or.th/EN
with all types of investors /reverse repo transaction as a tool for managing liquidity and generate benefits from the securities in possession . In this regard, however, securities companies have to put
Additional Rules for Proprietary Trading of Securities Companies __________________________ Division 1 Rules on Investment _______________ Clause 7 An operating system supervising the proprietary trading of a
approval of the Office of the Securities and Exchange Commission Name Position Managing power Independence Full time (with / without) (yes / no) (yes / no