carry out the supervision on behalf of such person together with the following documents (1) Documents showing shareholding structure of companies in the financial conglomerate; (2) Documents showing

broker is part of a financial conglomerate with its shareholding structure, internal group audit and supervision carried out by another regulatory body as prescribed and notified by the SEC Office, the SEC

is revoked by the SEC Office, or where a securities company is part of a financial conglomerate with a shareholding structure, internal audit and supervision by other regulatory bodies as specified by

In case of the death of independent director, resign or terminate by the SEC office or where Derivatives broker is a part of financial conglomerate which has share holding structure, examination of

deceases, resigns or SEC has annulled the approval, or securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has

structure 11. Corporate governance 12. Social responsibility 13. Internal control and risk management 14. Related party transactions 2.4 Financial position and operating results 15. Important financial

Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification

Exchange Commission No. Kor Thor. 7/2539 Re: Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the

the certificate of registration of juristic person / establishment of a body of persons; 1.2 a copy of the financial statements or the profit and loss statements, in case of a body of persons, for the

disclosure of financial information as categorized by business units, the income structure of the most recent year may be displayed instead. (For example, Business A and Business B generate 65 percent and 35