meeting with clients when an account is opened / the first transaction is processed, provided that the following criteria are met: (1) the financial institution is under supervision of a financial regulator

shall form a quorum. If the Chairman of the SEC is not present at the meeting or cannot perform his duty, and if there is a Vice-Chairman, the Vice-Chairman present at the meeting shall be the Chairman of

possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.

the designated matters. SECTION 12. At least half of the subcommittee members shall form a quorum. In the subcommittee’s meeting, if the chairman is not present at the meeting or is unable to perform

date of approval by the general meeting of the shareholders but not later than four months from the end of such financial year, unless otherwise specified by the Office.

Market Supervisory Board under Section 60 of the Securities and Exchange Act (No. 4) B.E. 2551 (2008), at the meeting no. 6/2009 held on 13 May 2009 resolved to grant approval for securities companies to

investment units which are entitled to voting; (2) In cases where the resolution is requested by convening a meeting of unitholders, the resolution shall be passed by at least three-fourths of the total

unitholders’ meeting whereby the units shall be offered for sale to every unitholder equally, and shall not be offered for sale to any unitholder who will cause the fund or the management company to have duties

security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid

; (4) a photocopy of the minutes of the meeting of the existing trade association showing the meeting’s resolution regarding its intention to become an association related to securities business; (5) a