Prescription of Conditions for Securities Companies to Apply for Approval of Person to Be Major Shareholder, mutatis mutandis. In this regard, in case such person is a juristic person, the directors or partners
Management Companies and related Cooperation (“HK-TH MRF MoU”) ทั้งน้ี ให ้บลจ. ไทย จดัการลงทุนกองทุนรวมไทยตามปกติ เวน้แต่จะไดก้ าหนดไวเ้ป็นการเฉพาะใน Appendix B - I - SFC Circular แนบทา้ย HK-TH MRF MoU ซ่ึง
conceal material facts which should have been stated in any document to be disclosed for application for approval of major shareholders of the securities companies or other document submitted to the Office
material facts or conceal material facts which should have been stated in any document to be disclosed for application for approval of major shareholders of the securities companies or other document
securities; (5) “Investor” means any person who is interested in investing in securities and shall also means any client of securities companies in securities businesses; (6) “Securities company” means any
” means any person who is interested in investing in securities and shall also means any client of securities companies in securities businesses; (6) “Securities company” means any company licensed to
criteria prescribed by the Association of Thai Securities Companies and approved by the SEC Office. Clause 7 The derivatives broker shall set up a compliance unit in which acceptable and reliable standards
derivatives broker’s board of directors, and comply with the criteria prescribed by the Association of Thai Securities Companies and approved by the SEC Office. Clause 7 The derivatives broker shall set up a