hundred million or more in securities as per the audited financial statements for the most recent year; (14) Juristic person in which the shareholders are such persons under (1) to (13) holding shares in an
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
Characteristics of Personnel in Securities Business; (3) of which major shareholder or any person holding more than 10% of the capital not having any prohibited characteristics as specified in the Notification of
institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that
capital investment in the amount of one hundred million baht or more; (n) a juristic person whose shareholders are the persons under (a) to (m) collectively holding shares in the amount exceeding seventy
of Personnel in Securities Business; (3) of which major shareholder or any person holding more than 10% of the capital not having any prohibited characteristics as specified in the Notification of the
, they may be presented in business lines); - In case of a holding company, the sizes of the company operating the core business and the others shall be specified in comparison major under relevant
บทนำ 2 2 เอกสารรับฟังความคิดเห็น เรื่อง การแก้ไขเกณฑ์การอนุญาตเสนอขายหลักทรัพย์ เกี่ยวกับงบการเงินของผู้ขออนุญาตที่เป็นบริษัทประกอบธุรกิจหลักโดยการถือหุ้นในบริษัทอื่น (holding company) สำนักงาน
arranging and keeping information, documents and evidentiary documentations relating to the intermediary ’s business. In this regard, such system shall serve accurately and thoroughly, including verification
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