of the securities companies dated 30 May 2000, shall be repealed. Clause 2. In this Notification, “major shareholder” means a person who holds shares, notwithstanding directly or indirectly, exceeding

by the Office of the Securities and Exchange Commission (if any); □ has operated its business for more than 3 years; □ has operated its business for less than 3 years. Shareholder of an applicant who

regulations: Clause 1 In this Notification: (1) the term “company,” “parent company,” “subsidiary company,” “major shareholder,” and “controlling person” shall mutatis mutandis have the same meaning as defined

) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: (1) the term “company,” “parent company,” “subsidiary company,” “major shareholder,” and “controlling person

in a line of work relating to money market or capital market, or work experience in the management level that is beneficial to management of securities business or work experience from being an

conducts a business placed with trust and accountability from the client who is the owner of money. Consequently, the management should have essential role in prescribing investment management policy under

Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules

Re: Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism Reference is made to the Anti­Money Laundering Office (AMLO)’s amendment to the Anti-Money

company under (e) or an agreement in the nature of money lending to the company under (e), provided that a fund has already become the shareholder of such company. (4)4 “ infrastructure business ” means the

money laundering or any other similar law within three years from the date of such court order. [ ] Yes [ ] No [ specify director or executive’s full name ] Apart from the characteristics mentioned above