Microsoft Word - เอกสาร hearing holding co _mar 2012_ _2_ เอกสารรับฟงความคิดเห็น เร่ือง การแกไขหลักเกณฑการอนุญาตใหเสนอขายหุนท่ีออกใหม กรณีผูขออนญุาตเปนบริษทัมหาชนจํากดั ท่ีประกอบธุรกิจหลักโดย
) providing analysis, advice or planning of investment for clients. Clause 5 Personnel in the capital market business performing functions under Clause 4(1) are persons holding the following positions
under Clause 4(1) are persons holding the following positions, excluding the person under Clause 10: (1) director; (2) general manager; (3) person holding a position equivalent to the positions under sub
head of department or a person holding any equivalent position, otherwise called by a different name but in charge of a line of work relating to the securities business. (UNOFFICIAL TRANSLATION) 2 (2) In
) “major shareholder” means any shareholder or beneficial owner of shares holding more than 10% of the total number of the applicant’s voting rights shares; For the purpose of the first paragraph, a
precious metal in Thailand; (3) “major shareholder” means any shareholder or beneficial owner of shares holding more than 10% of the total number of the applicant’s voting rights shares; For the purpose of
shall at least be the head of the department or a person holding any equivalent position otherwise called under a different name but in charge of a line of work relating to the derivatives business
clients that should not be disclosed and has become known by an intermediary through its operation of securities business or derivatives business; “investment” means an acquisition, disposal or holding of