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
, Conditions and Procedures for Disclosure regarding Financial and Non-financial Information of Securities Issuer stipulate that the auditor who audits and certifies financial statements of foreign entity whose