. Clause 2. The organisational structure of the company shall be established in accordance with the following rules: (1) arrange the structure of the company in an orderly systematic way, according to duties

granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance

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

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

Companies dated 29 June 2006. Clause 2 In the Notification: “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ securities company reporting

first paragraph, the term of “ foreign collective investment scheme ” means a collective investment scheme established under foreign law provided that it has been granted approval, registered or

institution established in accordance with other laws, and after having obtained a license from the Minister upon the recommendation of the SEC. The formation of a limited company or of a public limited company

fund” means a mutual fund established and managed by a management company which does not accept the redemption of investment units; (3) “open-ended fund” means a mutual fund established and managed by a

structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission, strategy

under the law on life insurance or a financial institution established under other laws, as follows: (1) a securities company in the category of securities brokerage, securities dealing or securities