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
Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives Advisor, dated 29 January 2004 shall be repealed. Clause 2. The applicant for registration to be a derivatives
Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives Advisor, dated 29 January 2004 shall be repealed. Clause 2. The applicant for registration to be a derivatives business
The SEC Thailand also proposed to be a host country candidate for the IOSCO Annual Conference in 2022 – the year of the SEC Thailand’s 30th Anniversary. The official proposal will be submitted to
and {A} failed to perform duties of independent financial advisor for the IPO applicant with due care, causing deficiencies in the following matters: (1) deficient due diligence on a transaction of
as follows: 1. Name of the Applicant (In Thai): …................................................................................................................................................. (In
: ..................................................................... (…………………………………………….) Applicant Date: ................................ phanchul Typewriter [Applicant sign here] phanchul Typewriter [Input name of Applicant] phanchul Typewriter [Input date]
such matters as the definition of the related person of the waiver applicant, the inclusion of securities held by concert parties, and the revision of disclosure requirements to provide shareholders with
derivatives whose underlying products are debt securities or variables are interest rates or any other variables as prescribed by the Office; (4) “applicant” means a person applying for derivatives business