of the associated persons and that of the shareholders under the same controlling person is considered the shareholding of the same group: (a) Top 10 highest shareholders; (b) Major shareholders whose
person who appraises the assets shall have any of the following characteristics: (1) being a financial advisor or an asset appraisal firm in the capital market whose name is on the approval list of the SEC
Paragraph 1 shall be based on the trading value of each transaction. (12)3 repealed; (13)2 “ connected person ” means the following persons; (a) connected person under the Notification concerning Conduct
case that the Company consists of subsidiaries or affiliates, the following information is required: - Policy on operational organization within the group of companies; - Shareholding diagram of the
; (2) a transaction for investment or service provision whose price, compensation or service fee is based on a referable rate or in accordance with the commercial practice applicable to such transaction
. · Information concerning the attitude of the client’s principal owners, key management and those charged with its governance towards such matters as aggressive interpretation of accounting standards and the
characteristics ”5 means other capital market products which is not capital market product having high-risk or complex characteristics; “ general manager ” means a person who is assigned by the board of directors
on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or inappropriateness with conditions of such intermediary ’s business; (c) is
case of prohibited characteristics in Group 2, the removal shall begin when there is a certain fact appeared to the SEC Office that such person has possessed the prohibited characteristics under Clause
the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His