reasonable suspicions, the SEC Office may reject the application: (1) an applicant or an offer for sale of bonds has the characteristic or meets the rules or conditions to obtain an approval according to this
foreign investor of the same characteristic as that of the investor under (1) to (14) mutatis mutandis ; “retail client” means a client other than an institutional client; “inside information” means the
) general information of the intermediary ; (2) characteristic, scope and condition of a service proposed to the client ; (3) channel for providing [or accessing to] the service and for communication; (4
the services: (1) general information of the intermediary; (2) characteristic, scope and condition of a service proposed to the client; (3) channel for providing [or accessing to] the service and for
fund, manual, or operating check list and performance report. 2. Fund establishment procedure should be conforming to the characteristic of the mutual fund as follow: 2.1 In the case where the mutual
plan for establishment of the fund, manual, or operating check list and performance report. 2. Fund establishment procedure should be conforming to the characteristic of the mutual fund as follow: 2.1 In
Baht, increased the amount of 77.6 million Baht or 7.98% (see Table 6) Table 6: Comparison of Non-Current Assets between year 2017 and 2016 (Baht1,000) Items 2017 2016 ±% Restricted deposits at financial
that made the intermediary has been determined to have prohibited characteristics thereof; (7) having not been prohibited, suspended or restricted to undertake business by the Capital Market Supervisory
restricted to undertake business by the Capital Market Supervisory Board or the SEC Office or having not been correcting its financial status or operating result according to the order of such authorities; 6