audited by an auditor; (11) a juristic person having the persons defined as an institutional investor under Section 3 of the Derivatives Act B.E. 2546 (2003) and those under (1) to (10) holding total shares
pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control
holding securities or derivatives for its investment; (c) not bearing responsibility for the clearing and settlement for derivatives. Clause 4 The calculation of the net capital under Clause 3 shall be in
than one million Baht and not less than seven percent of the general liabilities and collateral (if any): (a) not keeping the client’s assets in its possession; (b) not having investment in or holding
: (a) a company holding shares of the applicant exceeding fifty percent of the total number of shares with voting right of the applicant; (b) a company holding shares of the company under (a) exceeding
business groups); (3) In case of a holding company, the size of the company operating the core business and that of others shall be specified in comparison with the Company’s size under relevant regulations
percent of the total number of shares with voting right of such legal entity; (9) “ parent company ” means: (a) a company holding shares of the applicant exceeding fifty percent of the total number of
person with regard to the purpose of investment, financial position and desire of such person; “related company” means (1) a company holding shares of twenty percent or more of all voting right shares of
บทนำ 2 2 เอกสารรับฟังความคิดเห็น เรื่อง การแก้ไขเกณฑ์การอนุญาตเสนอขายหลักทรัพย์ เกี่ยวกับงบการเงินของผู้ขออนุญาตที่เป็นบริษัทประกอบธุรกิจหลักโดยการถือหุ้นในบริษัทอื่น (holding company) สำนักงาน
by a foreigner, the intermediary shall comply with the following additional rules: (1) selecting a foreigner who has credibility and capability to provide consultation of investment and is permitted to