Microsoft Word - เอกสาร hearing holding co _mar 2012_ _2_ เอกสารรับฟงความคิดเห็น เร่ือง การแกไขหลักเกณฑการอนุญาตใหเสนอขายหุนท่ีออกใหม กรณีผูขออนญุาตเปนบริษทัมหาชนจํากดั ท่ีประกอบธุรกิจหลักโดย

of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or

Possession of Prohibited Characteristics _______________ (Translation) -3- Part 1 Prohibited Characteristics _______________ Clause 3 Personnel in capital market industry shall not possess any prohibited

its possession; 2. investing in or holding securities for investment by the securities company itself; 3. bearing a responsibility for the clearing and settlement for securities. (2) twenty-five million

its possession; 2. investing in or holding securities for investment by the securities company itself; 3. bearing a responsibility for the clearing and settlement for securities. (2) twenty-five million

manager, an assistant manager, a head of department, a branch manager and also means a person holding any equivalent position called otherwise. In this regard, such persons shall be responsible for a

hundred million baht: (1) keeping clients’ assets in its possession; (2) investing in or holding securities for investment by the securities company itself; (3) bearing a responsibility for clearing and

business in any of the following manners, such securities company shall have paid-up registered capital of not less than one hundred million baht: (1) keeping clients’ assets in its possession; (2) investing

-incompetent person; (2) I am a person not eligible to serve as director, manager, person with managerial authority or advisor of financial institution because of the possession of prohibited characteristics

head of department or a person holding any equivalent position, otherwise called by a different name but in charge of a line of work relating to the securities business. (UNOFFICIAL TRANSLATION) 2 (2) In