The notification of the Ministry of Finance regarding prescription of conditions for securities company to apply for approval of person to be major shareholder defines the “Major Shareholder” as
Microsoft Word - ACC-LT022_E_MDA-Y'1Y (provision) (RW).docx WIIK & HOEGLUND PUBLIC COMPANY LIMITED 90 CW Tower A T + 66 (2) 6128600 Business ID 0107538000151 35th Floor
Microsoft Word - ACC-LT022_T_MDA-Y'17 (provision) (RW).docx WIIK & HOEGLUND PUBLIC COMPANY LIMITED 90 CW Tower A T + 66 (2) 6128600 Business ID 0107538000151 35th Floor
SEC had proposed, in principle, to amend the definition of major shareholder of the securities companies which at present is determined based on the “number of voting shares” to the “number of
foreign investors’ participation in the Thai stock market without being subject to the foreign limit – it is appropriate to amend the regulations related to provision of NVDR transaction services by
(IA) business undertakings. In this regard, Thai business operators have to inform the SEC of the names of such foreign personnel in advance and determine the term for their provision of advisory
advice service provision requires that the business operators must provide all five services as follows: (1) exploring and understanding customers; (2) constructing an investment portfolio; (3
provision.To improve the service provision standards, the Association of Securities Companies has drawn up the draft operating guidelines to be observed by its members. Upon the approval of SEC, securities