regulatory authority, or having subjected to any legal proceeding following the criminal complaint filed by a financial regulatory authority under sub clause (b); (d) being a former director, manager or
financial institutions, regardless of local or foreign ones, or being subject to any legal proceeding following the criminal complaint initiated by such regulatory body; or having been sentenced to
governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of legally proceeding against or being punished
สิ์น (หรือบุคคลท่ีศำลต่ำงประเทศแต่งตั้ง) ก็สำมำรถด ำเนินกำรบงัคบัทรัพยสิ์นของลูกหน้ีในต่ำงประเทศได ้ (ancillary proceeding) 2 เช่น รำยงำนกำรสอบบญัชีของผูส้อบบญัชีตอ้งไม่แสดงควำมเห็นอยำ่งมีเง่ือนไขวำ่ไม่
foreign currency to the clients, the intermediary shall inform the SEC Office of the names and details of such foreign personnel at least one business day before proceeding with the arrangement, except for
products denominated in foreign currency to the clients, the intermediary shall inform the SEC Office of the names and details of such foreign personnel at least one business day before proceeding with the
market products denominated in foreign currency to clients, the intermediary shall inform the SEC Office of the names and details of such foreign personnel at least one business day before proceeding with
foreign currency to clients, the intermediary shall inform the SEC Office of the names and details of such foreign personnel at least one business day before proceeding with the arrangement, except for the
of the operation or any other proceeding in a manner that reflects the role in the operation of such business. “v enture capital ” means a juristic person established under Thai or foreign law with the