the agricultural derivatives business license after 1 November 2016, the applicant shall demonstrate that its existing shareholding structure as of the issue date of the Cabinet’s resolution on the

referential exchange rate and the currency used in the financial statements. Remarks : (1) In the case where the securities issuing company has changed its shareholding structure or the operational framework or

three years, if any. 1.3 Shareholding structure In the case where the Company consists of subsidiaries or associates, the following information is required: - Policy on operational organization within the

. Assets 5. Legal disputes 6. General information and other material facts Part 2: Management and Corporate Governance 7. Securities and shareholders 8. Organizational structure 9. Corporate governance 10

the essential issues of the information of such mutual fund rating; (2) having reliable shares holding structure, organization structure, scope of business operation, directors, managers, department

pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control

the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls

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

years preceding the year of application filing until the date of application filing. □ 3. Supporting documents for consideration under Clause 4 (3) : □ (1) Organization structure of the applicant

guideline for the operating system of management company shall comprise of 4 chapters as follow: Chapter 1 Organisational structure of the company 1.1 Segregation of work units and responsibilities 1.2 Roles