Regulation. Clause 2 Applicant for securities business license in the category of investment advisory service which is a legal entity under Clause 1(1) to (5) shall- (1) be able to maintain capital funds and
Business (SFC) • Prescription of Conditions for Securities Company to Apply for Approval of Person to be Major Shareholder • Prescription of Type of Legal Entity Eligible to Apply for Approval on
fund management under this Ministerial Regulation whose shares are held by any legal entity under Sub-clause (1) to (5) in aggregate amount of not less than fifty percent of total shares sold. Clause 3
means any legal entity obtaining the license to undertake securities business which is not: (1) any legal entity supervised by any other governmental agencies before obtaining securities business license
> Notification-D Notification of the Ministry of Finance SHARE : Detail Content -Unofficial translation- The Notification of the Ministry of Finance Re: Prescription of Type of Legal Entity Eligible to
company licensed to undertake securities business in the category of mutual fund management; (d) life insurance company under law on life insurance; (e) financial institution or legal entity
held by any legal entity under Sub-clause (1) to (5) in aggregate amount of not less than fifty percent of total shares sold. Clause 3 Where an applicant for securities business license in the category
ของผู้ประกอบธุรกิจ การติดตามดูแลการกระทำที่อาจก่อให้เกิดความขัดแย้งทางผลประโยชน์(Independent Oversight Entity : IOE ประเภทหลักทรัพย์และอัตราส่วน หลักเกณฑ์สำหรับกองทุนรวมที่เสนอขายต่อผู้ลงทุนที่
Office to transfer your personal data to other controllers or to you in certain cases. Right to object to processing: You have the right to object to the processing of your personal data in certain cases
shareholders’ interest. It is also their role to support any policy that would benefit shareholders and to object any unfair decision to be made by the company. More information on the duties and