Securities and Exchange Commission hereby issues the following regulations: Clause 1 The management of funds of juristic entities under the same business group shall not be regarded as the undertaking of
discussion and analysis Certification of Information Attachments: Attachment 1: Details of directors, executives, controlling persons and company secretary Attachment 2: Details of directors of subsidiaries
of the associated persons and that of the shareholders under the same controlling person is considered the shareholding of the same group: (a) Top 10 highest shareholders; (b) Major shareholders whose
person realise the essential of security of the information technology thoroughly had known the duties and responsibilities and guideline on controlling the various risk which have a content covering the
ultimate controlling person, falls into one of the following situations, securities company shall classify the customer into a group that extra care is given and enhanced KYC/CDD process must be performed
same controlling person is considered the shareholding of the same group: (a) top 10 shareholders with the highest shareholding; (b) the major shareholders whose behaviors materially influence management
have the same meaning as defined for the term in the Notification of the Capital Market Supervisory Board regarding Rules on Securities Offering through Crowdfunding. Clause 2 In the case where a group
characteristics, or obtain an approval [from the SEC Office], as the case may be, as prescribed in this Notification: (1) managing, determining, controlling and supervising business policy of an intermediary ; (2
be, as prescribed in this Notification: (1) managing, determining, controlling and supervising business policy of an intermediary ; (2) controlling, supervising and managing business units relating to
or a group of persons who authorized a management company to manage a private fund; “Liquid asset” means assets as follow: (a) Cash or deposit money; (b) Certificate of deposit or promissory notes