The Derivatives Act The Derivatives Act B.E. 2546 SECTION 30. The auditor under Section 28 shall be a certified public auditor approved by the SEC Office and shall not be a shareholder, a beneficial
foreign investor of the same characteristic as that of the investor under (1) to (14) mutatis mutandis ; “retail client” means a client other than an institutional client; “inside information” means the
intermediary . “institutional investor” 6 means an institutional investor under the Notification of the Securities and Exchange Commission Re: Determination of Definitions of Institutional Investor, Ultra High
shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
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
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
) “ 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
in order to stimulate or reward the client to immediately [i] use offered services or [ii] invest in capital market products presented by the intermediary . “ institutional investor ” means an
specified in Clause 7 and in case of (4) shall also apply as specified in Clause 23(1). Part 1 Proprietary Trading Clause 7. To protect any acts that may create conflict of interest to investor, in the case