) Being able to show that it has established effective policy and measures for prevention of conflicts of interest, improper access to inside information among work units and personnel (Chinese Wall
under a specific law; (2) being able to show that a work unit responsible for providing services as securities registrar will be established separately from other work units; (3) being able to show that
(2) holding more than 50 percent of the total number of shares with voting right of such person; (4) a company which is newly established for the purpose of applying for derivatives business license
within 30 December 2018; (2) a company which is newly established to apply for the agricultural derivatives business license , except the companies under (1). Clause 4 An applicant shall be granted the
investment schemes established under the Act on Undertaking of Finance Business, Securities Business and Credit Foncier Businesses; (4) Credit foncier companies; (5) Insurance companies; (6) Juristic persons
competition with the management company’s operation, unless the management company can show that its organizational structure does not cause any conflicts of interest or has established effective policy and
person; (4) a company which is newly established for the purpose of applying for derivatives business license type Sor-1 whose shareholder is a commercial bank or the securities company under either (1) or
granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance
business established under Thai or foreign law and possessing all of the following characteristics: (1) having the objective of joint investment among at least two accredited investors; (2) assigning any
institution established under specific laws, who seeks to be registered with the Office as a qualified fund supervisor shall; (1) Maintain capital adequacy and capital reserves as specified by the rules of laws