undertaking business for not less than a period of three consecutive years holds more than fifty percent of its total shares with voting rights. Clause 3. An applicant shall be granted a license to undertake
Exchange Commission No. Kor Thor. 7/2539 Re: Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the
-third of the maximum capacity of the infrastructure business , unless it can be demonstrated that an excess of such proportion is in accordance with the nature of the industry of such infrastructure
liquid capital more than the aforesaid rate for at least two consecutive business days and a securities company has already filed the report of net liquid capital calculation of those two consecutive
responsibility in the audit within a period of (“the cooling-off period”) · five consecutive years* for audit engagement partner · three consecutive years for EQCR and · two consecutive years for other key audit
less than five consecutive business days; (3) implement the corrective plan or guideline notified to the SEC Office under (2) in order to regain the maintenance of capital in accordance with the
term of four years and may be re-appointed but shall not hold office for more than two consecutive terms. Upon expiration of the term of office, the appointment of new Chairman and commissioners shall be
the amount calculated in proportion to the remaining days of the calendar year where the license is obtained. Any association related to securities business which fails to pay the correct fee in full
shares sold of the Company. 1.2 Nature of Business 1.2.1 Income structure1 In case of more than one product line or business group, disclose the income proportion of each product line or business group
subsidiaries and associates means sharing of gain from the subsidiaries and associates which the company has recognised on share holding proportion in such company. 1.8 Other income means other incomes beyond