the agricultural derivatives business license after 1 November 2016, the applicant shall demonstrate that its existing shareholding structure as of the issue date of the Cabinet’s resolution on the

the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls

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

Exchange Commission No. Kor Thor. 7/2539 Re: Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the

: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities

allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept

risk เพียงอย่างเดียว หมายเหตุ กรณีเป็นกองทุนรวมที่มีนโยบายลงทุนใน structure note บริษัทจัดการจะต้องพิจารณาตำแหน่งของกองทุนรวม ซึ่งสามารถอยู่ระหว่างกองทุนรวม ตราสารหนี้ ถึง กองทุนรวมที่ลงทุนในทรัพย์สินทาง

deceases, resigns or SEC has annulled the approval, or securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has

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

comprising of, at least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system