financial institution established under other laws; (2) have another securities company held its shares in the amount equal to or exceeding ninety-nine percent of the total paid-up registered capital on the
SEC’s Notification; (2) 1 have the following shareholder or shareholders held its shares not less than fifty percent of total shares sold: (a) commercial bank under law on commercial banking; (b
first paragraph has a legal entity under Clause 1(1) to (5) held its shares exceeding ten percent of total shares sold, such legal entity shall also have qualifications specified under Clause 2(1). Clause
fund management under this Ministerial Regulation whose shares are held by any legal entity under Sub-clause (1) to (5) in aggregate amount of not less than fifty percent of total shares sold. Clause 3
shares in the amount equal to or exceeding ninety-nine percent of the total paid-up registered capital on the date on which the Securities and Exchange Act B.E. 2535 comes into force ; (3) hold shares of
held by any legal entity under Sub-clause (1) to (5) in aggregate amount of not less than fifty percent of total shares sold. Clause 3 Where an applicant for securities business license in the category
. Summary of regulations 1. Limitations on unitholding over one-third of the total outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 2. Rules
characteristics. Disclosure of information is complete and sufficient for making a decision to invest, and not misleading in substance Other qualifications Summary of important criteria in relation to the issuing
making an investment decision, or misled investors in a manner of concealing or disguise or making up non-existing facts. 6. Complete disclosure of information in accordance with the prescribed form