natural person who ultimately owns the account, or has significant interests in the customer’s transactions; (4) “ultimate controlling person of the transactions” means a natural person who ultimately

suspicion that it belongs to the clients; (2) securities; (a) segregated by deposit with central securities depository, or the Bank of Thailand in a manner that such deposits are clearly identified that the

suspicion that such amount of money belongs to the client; (2) Securities: (a) segregating by depositing with a securities depository center or the Bank of Thailand by clearly indicate that such securities

possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.

the business of the other party and the nature of such controlling power shall be depicted; and (b) The party that owns the funds does not want to obtain the legal protection under the provisions

executive of a securities company possesses any prohibited characteristic, the Office shall proceed in accordance with the rules and procedures specified in the Notification of the Securities and Exchange

notes or bills with due dates of less than three months etc.. In the case where the company possesses a fixed deposit, certificate of deposit and a bill which is due within three months but the company

securities company at the time of selling order but the securities company is confident that the customer owns such securities, regardless of whether the securities are in the customer’s possession or

) maintaining the proportion of shareholding that possesses the specified characteristics under Clause 3 throughout undertaking business of precious metal derivatives brokerage ; In case a person who obtained

business of precious metal derivatives brokerage ; (3) maintaining the proportion of shareholding that possesses the specified characteristics under Clause 3 throughout undertaking business of precious metal