counterbalance; Monitoring of transactions that occur; Frequent revision of the appropriateness of the methods used. Competitive businesses Clear separation of target group of customers or markets; There
Ministry of Finance Re: Prescription of Conditions for Securities Company to Apply for Approval of Person to be Major Shareholder (as amended) Clause 1 In this Notification: "securities company" 1
No. Title 2 Financial Institution Eligible to Apply for Securities Business License B.E. 2536 (amended by No. 16 No. 18) (Repealed) 3 Application for Separation of Finance and Securities
. Regulatory Summary Main Duties of a Trustee Ensure that the trust deed is executed in compliance with the laws Appoint a trust manager Prepare a trust property account in separation from any other accounts
approval of the major shareholder The Notification of the Securities and Exchange Commission No. GorThor. 19/2561 Re: Rules, Conditions and Procedures for Undertaking Digital Asset Businesses The
approval of the major shareholder The Notification of the Securities and Exchange Commission No. GorThor. 19/2561 Re: Rules, Conditions and Procedures for Undertaking Digital Asset Businesses The
) be the securities company established upon the separation of finance and securities businesses of the securities company with disqualified characteristics under sub-clause (3); (5) have financial
) be the securities company established upon the separation of finance and securities businesses of the securities company with disqualified characteristics under sub-clause (3); (5) have financial
be Major Shareholder • Prescription of Type of Legal Entity Eligible to Apply for Approval on Establishment of Limited Company or Public Limited Company to Undertake Securities Business in the
) To be filed within 21 days from the date approved by shareholder meeting, but not more than four months after the end of annually period, whichever is the sooner. Annual Compliance Report (SEC Circular