; “Affiliated companies” means the followings companies: (1) Any company who holds shares of management company or employer, as the case may be, from ten percents of total shares sold of management company or
Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
Notification: “Yearly report” means the yearly report under the Notification of the Association of Investment Management Companies governing rules and procedures for preparation of the reports on the management
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
holds shares more ten percent of the outstanding shares. No. Name Number of shares (thousand unit) Percentage of the outstanding shares (%) 1 2 3 4 Part 3: Purpose of submitting an application □ 3.1 For
) ………………… ………….. ……………………………….. ………………… ………….. ……………………………….. ………………… ………….. ……………………………….. O Never 4. Information of holding a position of and holding shares in other business, including the holding of position of an advisor of other securities company or securities investment company
B.E. 2535 (1992) , the Securities and Exchange Commission hereby issues the following regulations: Clause 1 An association related to securities business shall have other regulations concerning the
, derivatives exchange, derivatives clearing house, regulatory association of derivatives business operators and prevention of unfair derivatives trading practices. Such power and duty shall include: (1) the
lower than 6.25 percent of the outstanding. (6) shares listed on the Stock Exchange of Thailand and included in the SET 100 index calculation; (7) investment units of the Money Market Fund; (8) investment
arising from or related to its use. (1) treasury bills; (2) bonds; (3) bills; (4) shares; (5) debentures; (6) investment units which are instruments or evidence representing the rights to the property of a