opening accounts or engaging in business relationships with a securities company, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a
” means any person undertaking business relating to buying or selling gold in Thailand. (3) “Major shareholder” means any holder or beneficial owner of shares in the amount exceeding ten percent of the
shareholder or a beneficial owner of more than ten percent of the total voting rights of the applicant. For the interest of the provision under Paragraph 1, a “ beneficial owner ” means the beneficial owner of
in a line of work relating to money market or capital market, or work experience in the management level that is beneficial to management of securities business or work experience from being an
transaction with the best execution for the fund or being vital and beneficial to the fund at that particular time; (2) being an at arm’s length transaction; and (3) in cases where such transaction is cross
such company; (11) “major shareholder” means any shareholder or beneficial owner of shares who holds more than ten percent of the total number of shares with voting right of the applicant. For the
Office uses to increase or decrease the weight in considering the facts in general: (a) the involvement of a person in the prohibited characteristics such as being a principal, an user or a supporter, etc
, by itself or combing with others exceeding fifty percent of total number of shares with voting right of such company ; (11) “ major shareholder ” means any shareholder or beneficial owner of shares who
result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity; (c) being the manner of inappropriate investment as a professional; (d) bringing
the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an