บทนำ 2 2 เอกสารรับฟังความคิดเห็น เรื่อง การแก้ไขเกณฑ์การอนุญาตเสนอขายหลักทรัพย์ เกี่ยวกับงบการเงินของผู้ขออนุญาตที่เป็นบริษัทประกอบธุรกิจหลักโดยการถือหุ้นในบริษัทอื่น (holding company) สำนักงาน

of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a

Exchange Commission No. SorNor. 5/2551 Re: Investment and Holding of Assets for a Fund (No.3) By virtue of Section 126 (4) of the Securities and Exchanges Act B.E. 2535 (1992) in conjunction with Clause 18

holding securities for investment by the securities company itself; (3) Bearing a responsibility for the clearing and settlement for securities. (As amended by Section 5 of the Securities and Exchange Act

delegatees that have been delegated by the management company to operate on its behalf should be supervised except for juristic persons holding a license to undertake securities business in the category of

which has similar supervision to that of the Office; (6) “Company” means any limited company or public limited company; (7) “Holding company” means any company undertaking core business in holding shares

mean any person holding equivalent position called otherwise and such person shall be responsible for a line of work relating to provision of securities services, securities operation or research on

dispute between a provident fund member and the respondent, provided that the claimant shall demonstrate a written evidence or agreement that the respondent gives consent to resolve the dispute by the

procedures and processes to resolve the issues, and lists of contact persons and the communication channels, etc.; (8) define the level of security for each type of data to be used in the cloud service by

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