significant matter; (b) having been rejected by the SEC Office regarding an application for an offer for sale of newly issued shares due to a significant suspicious ground regarding management mechanism in any

issued shares due to a significant suspicious ground regarding management mechanism in any of the following manners: 1. having a possibility to be unable to treat shareholders fairly by giving benefits to

reasonably suspicious circumstance not to identify the real client or beneficial owner, the intermediary shall deny to provide any service. Clause 33 For the purpose of categorizing type of a client , an

of Securities Issuers. 4 Chapter 2 Power of the SEC Office _____________________ Clause 9 In the case where it appears to the SEC Office a fact causing any of the following suspicious grounds, the SEC

/client due diligence หรือ KYC/CDD) (4) การรายงานธุรกรรมที่มีเหตุอันควรสงสัย (reporting of suspicious transactions) ตามกฎหมายฟอกเงิน (5) การเก็บรักษาเอกสารหลักฐานภายใต้กระบวนการรู้จักลูกค้าและการตรวจสอบ

Clause 6 In case where the facts become apparent that the SEC Office discovers any of the following suspicious circumstances, the SEC Office may not grant approval for the offer for sale of securities

; การรายงานธุรกรรมที่มีเหตุอันควรสงสัย (reporting of suspicious transactions) ตามกฎหมายฟอกเงิน (5)  การเก็บรักษาเอกสารหลักฐานภายใต้กระบวนการรู้จัก

client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is reasonably suspicious circumstance not to

client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is reasonably suspicious circumstance not to

client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is reasonably suspicious circumstance not to