the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By
Interest of Financial Institutions shall hold at least seventy-five percent of the total shares sold; and (2) the Ministry of Finance shall hold at least ten percent of the total shares sold. Clause 2 This
firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
inapplicable to an appointment of person to hold the positions under Clause 5, Clause 6 or Clause 7 in any of the following cases: (1) the appointment by an intermediary registered to be a derivatives
; (3) investment analyst ; (4)2 agricultural commodity trading management official. Clause 10 This Notification is inapplicable to an appointment of person to hold the positions under Clause 5, Clause 6
having shareholder being person as prescribed in (1) to (13) combining hold shares exceed 75% of share which entitle to vote; (15) foreign investors having qualifications as the investor prescribed in (1
being fund supervisor are unlimited liabilities partners or limited liabilities partners that hold shares in an aggregate of more than ten percent of the total shares of such limited partnership; (3
acts under the provisions of this Act or other laws. In exercising the power and duty of the Office under the first paragraph, the Office shall have the power to: (1) own, possess, hold any proprietary
million Baht; (14) a juristic person whose shares holders are the persons under (1) to (13) collectively hold the shares in an amount exceeding seventy-five per cent of the shares with voting right; (15) a