having shareholder being person as prescribed in (1) to (13) combining hold shares exceed 75% of share which entitle to vote; (15) foreign investors having qualifications as the investor prescribed in (1

the essential issues of the information of such mutual fund rating; (2) having reliable shares holding structure, organization structure, scope of business operation, directors, managers, department

management company; (f) Manager of fund; (g) Juristic person which person in (e) or (f) hold shares or be a partner combining exceed 30 percent of total shares sold or amount of contribution of such juristic

conducts a business placed with trust and accountability from the client who is the owner of money. Consequently, the management should have essential role in prescribing investment management policy under

securities company with an acceptable standard for Operational Control and Security of the information technology of a securities company. The essential of this guideline is compose of: 1. Policy of Security

, whether directly or indirectly, by itself or combining with others exceeding fifty percent of the total number of shares with voting right of the applicant; (10) “subsidiary” means: (a) a company whose

number of shares with voting right of such other companies; (d) a company holding shares of the applicant , whether directly or indirectly, by itself or combining with others exceeding fifty percent of the

Translation (Translation) PAGE (Translation) -45- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By...