and does not possess any prohibited characteristics as follows: (1) having readiness and sufficiency on personnel and operating system to ensure that the operational function of the intermediary shall
. Clause 13 An intermediary who submits an application for approval under Clause 12 shall be granted an approval on the condition that a service provider has the qualifications and does not possess any
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...