Microsoft Word - เอกสาร hearing holding co _mar 2012_ _2_ เอกสารรับฟงความคิดเห็น เร่ือง การแกไขหลักเกณฑการอนุญาตใหเสนอขายหุนท่ีออกใหม กรณีผูขออนญุาตเปนบริษทัมหาชนจํากดั ท่ีประกอบธุรกิจหลักโดย
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or
Possession of Prohibited Characteristics _______________ (Translation) -3- Part 1 Prohibited Characteristics _______________ Clause 3 Personnel in capital market industry shall not possess any prohibited
its possession; 2. investing in or holding securities for investment by the securities company itself; 3. bearing a responsibility for the clearing and settlement for securities. (2) twenty-five million
manager, an assistant manager, a head of department, a branch manager and also means a person holding any equivalent position called otherwise. In this regard, such persons shall be responsible for a
hundred million baht: (1) keeping clients’ assets in its possession; (2) investing in or holding securities for investment by the securities company itself; (3) bearing a responsibility for clearing and
business in any of the following manners, such securities company shall have paid-up registered capital of not less than one hundred million baht: (1) keeping clients’ assets in its possession; (2) investing
which is composed of the land cost including fee from transferring ownership for 218 Million Baht( the ownership transfer cost 3 Million Baht), construction expense is 170.35 Million Baht and the medical
-incompetent person; (2) I am a person not eligible to serve as director, manager, person with managerial authority or advisor of financial institution because of the possession of prohibited characteristics