, prior to the effective date of this Notification, the derivatives broker has existing subordinated liabilities, which are not included in the calculation of the total liabilities under Clause 2, in the

. Clause 6 In the event that, prior to the effective date of this Notification, the securities company has existing subordinated liabilities, which are not included in the calculation of the total

; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person in the number of exceeding fifty percent of the total

legal entity, whether directly or indirectly, in the amount or in aggregation of exceeding fifty percent of the total number of shares with voting right of such legal entity; (9) "parent company" means

percent of the total number of shares with voting right of such legal entity; (9) “ parent company ” means: (a) a company holding shares of the applicant exceeding fifty percent of the total number of

shareholder or a beneficial owner of more than ten percent of the total voting rights of the applicant. For the interest of the provision under Paragraph 1, a “ beneficial owner ” means the beneficial owner of

case of a private placement), etc. - Specify other important details of the offer for sale of the securities, for example, the issuer (only in the case of the existing securities holders offering their

person acquires additional units, the total value of the units held when combined with the existing units shall be no less than ten million baht. The calculation for the total value of the units held in

capability and total exposure of each customer. Clause 25/1 Derivative broker shall keep all record according to the procedure in Clause 18, Clause 19and Clause 25 in complete and readily for the SEC Office to

-five percent of the total shares with voting right; (o) a foreign investor of the same characteristics as those under (a) to (n) mutatis mutandis ; (5) “ retail client ” means a client other than