institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that
Office of the Securities and Exchange Commission. Clause 3. This Notification shall not be applied to those financial institutions holding securities business licenses, which are under direct supervision
the Office; (8) “Office” means the Office of the Securities and Exchange Commission. Clause 3. This Notification shall not be applied to those financial institutions holding securities business licenses
exempt from having qualifications as specified in the first paragraph if the applicant has the following qualifications: (1) being manager of a securities company or any person holding equivalent position
shall be exempt from having qualifications as specified in the first paragraph if the applicant has the following qualifications: (1) being manager of a securities company or any person holding equivalent
capital investment in the amount of one hundred million baht or more; (n) a juristic person whose shareholders are the persons under (a) to (m) collectively holding shares in the amount exceeding seventy
investment in the amount of one hundred million baht or more; (n) a juristic person whose shareholders are the persons under (a) to (m) collectively holding shares in the amount exceeding seventy-five percent
of Personnel in Securities Business; (3) of which major shareholder or any person holding more than 10% of the capital not having any prohibited characteristics as specified in the Notification of the