) Being able to show that it has established effective policy and measures for prevention of conflicts of interest, improper access to inside information among work units and personnel (Chinese Wall

granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance

Section 93 Securities and Exchange Act B.E. 2535 Section 93. Any person wishing to act on behalf of a company established to undertake securities business under foreign law by setting up a

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

under a specific law; (2) being able to show that a work unit responsible for providing services as securities registrar will be established separately from other work units; (3) being able to show that

investment schemes established under the Act on Undertaking of Finance Business, Securities Business and Credit Foncier Businesses; (4) Credit foncier companies; (5) Insurance companies; (6) Juristic persons

first paragraph, the term of “ foreign collective investment scheme ” means a collective investment scheme established under foreign law provided that it has been granted approval, registered or

institution established in accordance with other laws, and after having obtained a license from the Minister upon the recommendation of the SEC. The formation of a limited company or of a public limited company

fund” means a mutual fund established and managed by a management company which does not accept the redemption of investment units; (3) “open-ended fund” means a mutual fund established and managed by a

(2) holding more than 50 percent of the total number of shares with voting right of such person; (4) a company which is newly established for the purpose of applying for derivatives business license