Microsoft Word - ID11_hearingattach1_v2_chart ตัวอยางรูปแบบโครงสรางการถือหุนในกลุมธุรกิจการเงินท่ีเขาขายยื่นขอผอนผันการมีกรรมการอิสระ Parent Subsidiary Pattern รูปแบบที่ 1 รูปแบบที่ 2 ≥ 75% ธพ./ผูประกอบธุรกิจหลักทรัพย/ ผูประกอบธุรกิจสัญญาซื้อขายลวงหนา ผูประกอบธุรกิจที่ขอผอนผัน ธพ./ผูประกอบธุรกิจหลักทรัพย/ ผูประกอบธุรกิจสัญญาซื้อขายลวงหนา บจ. A บจ. B บจ. C บจ. D ผูประกอบธุรกิจที่ขอผอนผัน ≥ 75% ≥ 75% ≥ 75% ≥ 75% ≥ 75% 5% 3% 3% 5% เอกสารแนบ 1 2 Holding Company Pattern รูปแบบที่...

prevention of the conflict of interest and Chinese wall. - demonstrate in detail on the above mentioned measure, at least in the following matters: (a) an organization chart and scope of power, duty and

procurement of benefit 3. Market overview of the business of procuring benefits from REIT’s assets 4. Risk factors 5. Legal disputes 6. Other relevant information Part 3: REIT Supervision and Management 7

for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re

: Rules, Conditions and Procedures for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange

, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function provides services for other persons or for the benefit of the

responsible for services relating to derivatives contract, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function

daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an

daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an

(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the