company or a public limited company which is established to undertake securities business in the category of securities finance shall be as follows: (1) a financial institution under the Law on Loan
being fund supervisor are unlimited liabilities partners or limited liabilities partners that hold shares in an aggregate of more than ten percent of the total shares of such limited partnership; (3
of the country), hereby certify follows; 1. My immediate family member, including spouse (or equivalent) and dependent, and I do not hold any share of my audit clients and or its related entities. 2
Thailand; (3) an international financial institution; (4) a juristic person established under a specific law; (5) a government agency and a State enterprise under the law on budgetary procedure; (6) the
other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification
securities that may hold of for that fund; Management company shall specify conditions and rules on obtaining the soft commissions as provided in paragraph one hereby in mutual fund management scheme or in
in the audit firm who has an influence on the applicant’s giving of opinions, including the spouse and minor children, of the person with equivalent authority, of other partners or equivalent, of other
Notification on Standard Conduct of Business and this Notification, it shall be deemed that the intermediary has already been permitted to buy or hold shares by the SEC Office in accordance with Section 98(7)(b
mean any person holding equivalent position called otherwise and such person shall be responsible for a line of work relating to provision of securities services, securities operation or research on
million baht from the date of the shareholding structure in which one or several existing shareholders hold combined shares less than twenty-five percent of the company’s shares eligible for voting rights