issuer within appropriate time. A securities company shall not claim the benefits of the client without an order or consent of the client in writing. CHAPTER II Record of Particulars of Client’s Assets
” means a person who holds directly or indirectly more than 10 percent of the total number of voting shares of any juristic person. “relevant laws” means the Trust for Transactions in Capital Market Act B.E
characteristics: (1) a company related to an intermediary by shareholding structure, either directly or indirectly, more than fifty percent of the total number of shares sold; (2) a company related to an
The SEC Office may prescribe a detailed guideline of the provisions under this Notification to serve as a guideline which is appropriate and consistent with this Notification, and upon compliance with
serve as a guideline which is appropriate and consistent with this Notification, and upon compliance with such guideline, the intermediary shall be deemed to have complied with the provisions prescribed
assistant auditors with an academic qualification of not lower than a bachelor’s degree, at a total number of not less than five persons. Such auditors and assistant auditors shall work full time for the
to certain unit holders shall not be opposed by any unit holders holding more than 10 percent of the total voting rights of the unit holders present at the meeting and eligible to vote; (b) the