Securities and Exchange Act B.E. 2535 to allow qualified financial institution or such other legal entities to undertake such securities business by means of being shareholders of newly established company
throughout the term of the bonds. 4.3 There is no ground to suspect that the lead regulator of the capital market of the country wherein the issuer is established is unable to provide an assistance to the SEC
frameworks. Later, a number of independent audit regulators established in the course of the implementation of IOSCO's Principle of Auditor Oversight co-founded the International Forum of Independent Audit
the country wherein the issuer is established is unable to provide an assistance to the SEC Office. 7. No record of breaches of regulations and laws (i.e. being currently subject to a criminal complaint
-transferable ownership/concessions; investment in subsidiaries of infra trusts (holding shares at a minimum of the supermajority proportion required by the country in which the company is established. In case
company or public limited company which is newly established for operating securities business in the said category mutual fund management under this Ministerial Regulation. Clause 3 Limited company or
reports to the SEC/ SET. 3. The directors and executives shall be listed on the database of directors and executives of the securities issuing companies. 4. Not being in default on principal or interests of
(holding shares at a minimum of the supermajority proportion required by the country in which the company is established. In case of any restrictions, sharing holding shall not be less than 40% of the voting
established under specific law; or (6) newly established limited company or public limited company to undertake securities business in the category of investment advisory service under this Ministerial
limitedcompany to undertake securities finance business and application and issuance of license to the companyso established to undertake securities finance business shall be specified in this Ministerial