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

to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the

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

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

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

) “ 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

for approval: 1.1 The position applied for approval: O Director: O having power O having no power O independent director O Manager: 1.2 Relationship with the shareholder or group of shareholder, such as

title; “investor contact” means any person who has duties to contact, solicit, advice or prepare investment plans for investors or customers of a securities company and are divided into two categories