Microsoft Word - เอกสาร hearing holding co _mar 2012_ _2_ เอกสารรับฟงความคิดเห็น เร่ือง การแกไขหลักเกณฑการอนุญาตใหเสนอขายหุนท่ีออกใหม กรณีผูขออนญุาตเปนบริษทัมหาชนจํากดั ท่ีประกอบธุรกิจหลักโดย
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
Exchange Commission No. SorNor. 5/2551 Re: Investment and Holding of Assets for a Fund (No.3) By virtue of Section 126 (4) of the Securities and Exchanges Act B.E. 2535 (1992) in conjunction with Clause 18
Office of the Securities and Exchange Commission No. SorNor. 5/2551 Re: Investment and Holding of Assets for a Fund (No.3) By virtue of Section 126 (4) of the Securities and Exchanges Act B.E. 2535 (1992
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or
AEONTS and its subsidiaries companies: Company Business Relationship with AEONTS AEON Financial Service Co., Ltd. (“AFS”) Finance -Major shareholder of AEONTS, holding 35.12% of AEONTS’ s shares AEON
financial institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] o Reviewing and modify updatable by having a risk
Possession of Prohibited Characteristics _______________ (Translation) -3- Part 1 Prohibited Characteristics _______________ Clause 3 Personnel in capital market industry shall not possess any prohibited
its possession; 2. investing in or holding securities for investment by the securities company itself; 3. bearing a responsibility for the clearing and settlement for securities. (2) twenty-five million