it is carried out in accordance with the rules prescribed under the law. The management company should also adequately disclose the related facts to client when requesting for consent to execute a
of shareholding structure, whereby all legal entities in such group have relationship with each other as parent company or subsidiary company, or each legal entity in such group is held by the same
type A or is in a process of applying for such license; (2) securities companies other than the securities company under (1) which obtain a securities business license in the category of securities
. Clause 21 In the case where the licensee, being required to maintain its status of legal entity in a conglomerate pursuant to Clause 13(5), is to change its shareholding structure to the extent that it is
securities business license type A or is in a process of applying for such license; (2) securities companies other than the securities company under (1) which obtain a securities business license in the
entitled to seek the court's order to revoke the resolution found to be in contravention of the law or governing regulations;(3) Enhancing supervision over the SET in line with international standards
prepare and submit its operating plan to the Minister for acknowledgment every year and disclose the operating plan in a manner available for public access. 3 In the case where it is appropriate or
of advice is solely a part of or an incidental to the conduct of business as a derivatives broker or a derivatives dealer, or any other persons who give advice in a manner as specified in the