as client financial status and their ability to pay debt client. As for the former clients which the securities company do not possess such information or documentary evidence the securities shall
controlling person of securities trading, as well as client financial status and their ability to pay debt client. As for the former clients which the securities company do not possess such information or
) …….. ………… ……………….. …………….. ……….. …….. ………… ……………….. …………….. ……….. …….. ………… ……………….. …………….. ……….. The company has already examined the curriculum vitae of the persons above, O thereby certifies that the persons applied for approval to be executives possess all qualifications without any prohibited
, beneficial owner and controlling person of securities trading, as well as client financial status and their ability to pay debt client. As for the former clients which the securities company do not possess
(UNOFFICIAL TRANSLATION) Codified up to No. 10 As of 28 February 2020 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Jor. 3/2558 Re: Provisions relating to Offer for Sale of Shares Issued by Foreign Company Whose Shares Are Not Traded on Foreign Exchange _______________ By virtue of Sections 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as...
the requirement a Criteria 1. Directors, Management and Controlling parties are i) possess qualifications and not possess any prohibited characteristics or any characteristics indicating a lack of
approval by the authorised person; · Controlling the privilege user strictly, such as controlling the compliance such user in a manner of dual control which imposing two officer possess half of password or
most highest right. (Translation) -8- ▪ Controlling the privilege user strictly, such as controlling the compliance such user in a manner of dual control which imposing two officer possess half of