financial company, a securities company, or a financial institution established under specific law under Clause 4(1) (2) and (4) shall maintain its qualifications specified in Clause 5; (2) registered
)( other evidentiary documentation as specified in the Licensing Manual for the Public. Clause 5 The application for a license under Clause 3 shall contain at least the following particulars: (1) the
capable of preventing wrongful acts; (2) list of securities for which the applicant has provided services as registrar (if any); (3) other evidentiary documentation as specified in the Licensing Manual for
including [existing] clients of an intermediary. 2 “institutional investor” means an institutional investor as specified in the Notification of the Securities and Exchange Commission concerning the
control and information technology security as specified in the notification of the SEC Office. Clause 8. Derivatives broker shall arrange to have independent director of at least one out of four directors
technology security as specified in the notification of the SEC Office. 3 As amended by the SEC Office Notification No. Kor Thor 13/2549 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives
Notification shall come into force as from 1 December 2012. Clause 2 In this Notification: “REIT Manager” means a person specified in a trust instrument as the manager of REIT with the authority and duty to
one fourth of directors to be independent director. In this regard, the independent director shall have qualification and shall not possess prohibited characteristics as specified by the Notification of