controlling power and the nature of business during the preceding year as well as the material changes in the shareholding structure, management or business operation or any other important events (e.g., merger
), as well as the AMLO’s issuance of the Counter-Terrorism Financing Act B.E. 2556 (2013) and subsequent rules with details pursuant to both Acts for application to intermediaries. The SEC Office hereby
case my application is incomplete and the SEC Office has already informed such incompleteness by e-mail, it is deemed that I entirely assent to such informed incompleteness as well as the period of time
concerning the Determination regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor ; “ client ” means user of an intermediary ’s services; “ Stock Exchange ” means
capital market products, or capital market products traded on the Stock Exchange of Thailand or derivatives exchange, the intermediary may reduce details in methods and procedures of the communication and
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
concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ client ” means user of an intermediary ’s services. “ Stock Exchange ” means the Stock Exchange of
nature, size, and complexity of business of the company. Guidelines 1. There should be an organisational chart demonstrating units and lines of command for personnel in the organisation to be informed of
documents and evidence in full from the securities company, except in the case where there is a necessity to conduct further inspection of any facts and the Office has informed the securities company of such
Organization and State Enterprise under the relevant incorporating law, including state-owned business enterprise which is not a juristic person; (7)3 repealed . (8) “ Stock Exchange ” means the Stock Exchange