to identify the clients and the true beneficiaries and did not reconsider appropriate credit lines for the clients in accordance with the law. Such neligence exposed the company to risk whereby
the clients in accordance with the law. Such neligence exposed the company to risk whereby inappropriate transactions or illegal actions may be committed and evade detection. Such circumstances would
and offer for sale of securities under the law of the Kingdom of Thailand; or (c) any non-compliance with the requirements, procedures, or conditions required in the offer for sale or the allocation of
first paragraph is a commercial bank under the law on financial institution business, a life insurance company under the law on life insurance, or a financial institution established under a specific law
applicable law. H. Meeting of Debt Securities Holders Disclose details relating to the requirements for convening, attending or voting at a meeting of debt securities holders, if such a meeting can be held
meeting of securities holders. “Central securities depository” means any central securities depository under the law on securities and exchange; “Margin account” means an account of client’s loan for
holders. “Central securities depository” means any central securities depository under the law on securities and exchange; “Margin account” means an account of client’s loan for securities purchasing or
with Section 33, Section 34, Section 36, Section 41, Section 43 and Section 45 of the Constitution of the Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission acting as