shareholder or a beneficial owner of more than ten percent of the total voting rights of the applicant. For the interest of the provision under Paragraph 1, a “beneficial owner” means the beneficial owner of
Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established under foreign law
under foreign law who applies for registration to be a derivatives business operator in the category of derivatives dealer shall specify the detail only in Part II and Part III. (Translation) Date
the total paid-up shares with voting rights of the company being held; The holding of shares by an individual under the first paragraph shall include shares held by a spouse and a minor child of such
with voting rights of the company being held; The holding of shares by an individual under the first paragraph shall include shares held by a spouse and a minor child of such individual; (c) a company in
exceeding fifty percent of the total paid-up shares with voting rights of the company being held; The holding of shares by an individual under the first paragraph shall include shares held by a spouse and a
conditions have been satisfied: (1) being units listed and disclosed publicly on the SEC Office’s website which were examined by the SEC Office under the Notification of the Office of the Securities and
derivatives trading activities after having accessed the EY information system which contained clients’ audited, but yet to be disclosed, draft financial statements under responsibility of the audit group under
operation of the company in a significant manner, whether as a result of being a shareholder or authorized under an agreement or any other matter, especially a person falling under any of the following
which can be issued or offered for sale in Thailand, unless otherwise prescribed by the SEC Office; (2) being an outbound product under the supervision of any of the following regulators and the trading