Microsoft Word - เอกสาร hearing holding co _mar 2012_ _2_ เอกสารรับฟงความคิดเห็น เร่ือง การแกไขหลักเกณฑการอนุญาตใหเสนอขายหุนท่ีออกใหม กรณีผูขออนญุาตเปนบริษทัมหาชนจํากดั ท่ีประกอบธุรกิจหลักโดย
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 aggregate of
. No. 4 – Revision has been made to remove restrictions and minimize service users’ burden for proof of identity and identity verification. (Previously, service users had to be present in order to submit
operation; (7) Every 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
counterparties and customers • Reviewing knowledge and understanding on the Code of Conduct among our employees and arranging for their annual acknowledgment and compliance • Making plans for holding activities to
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 Ministry of Finance concerning
Office of the Securities and Exchange Commission. Clause 3. This Notification shall not be applied to those financial institutions holding securities business licenses, which are under direct supervision
the Office; (8) “Office” means the Office of the Securities and Exchange Commission. Clause 3. This Notification shall not be applied to those financial institutions holding securities business licenses
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-five percent