customer; (7) information on the purchase, sale or holding shares or share warrants of the investment advisory company, person with power of management or advisor in the case where the purchase, sale or

Organization and State Enterprise under the relevant incorporating law, including state-owned business enterprise which is not a juristic person; (7)3 repealed . (8) “ Stock Exchange ” means the Stock Exchange

the management company has held the share of such person (c.3) Person in which the director, the manager or the person with power of management of the management company who has held shares exceeding

; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person in the number of exceeding fifty percent of the total

following manners: (a) a spouse or a minor child of such person; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person

able to show that any individual being its director, manager or person with power of management who is in charge of derivatives business of the applicant meets the requirements and does not have any

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

hereby issues the following regulations: Clause 1 Units of foreign collective investment scheme in the type of share is securities having investment characteristic similar with investment units. A person

within the full period of 3 years preceding the year of application filing toward the date of application filing; □ (2.4) In the case where the shareholder is an individual person: Violation record under

Section 93 Securities and Exchange Act B.E. 2535 Section 93. Any person wishing to act on behalf of a company established to undertake securities business under foreign law by setting up a