individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages

able to show that any individual being its director, manager or person with power of management who is in charge of derivatives business of the applicant meets the requirements and does not have any

in a number exceeding fifty percent of the total paid-up shares with voting rights of such person; 2. an individual or a company holding shares of the company under 1. in a number exceeding fifty

paid-up shares with voting rights of such person; 2. an individual or a company holding shares of the company under 1. in the number of exceeding fifty percent of the total paid-up shares with voting

within the full period of 3 years preceding the year of application filing toward the date of application filing; □ (2.4) In the case where the shareholder is an individual person: Violation record under

client; (d) the information specified under (a), (b) and (c) of direct or indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding

of the insurance company; (b) letter of guarantee of a commercial bank, finance company, or financial institution established under a specific law; (c) other collateral prescribed by the Office

) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3

securities company, Bank of Thailand or licensed to undertake securities business in the category of securities trading under the foreign law; “Institutional client” means the following customers: (1

Section 93 Securities and Exchange Act B.E. 2535 Section 93. Any person wishing to act on behalf of a company established to undertake securities business under foreign law by setting up a