standards as stipulated by an association under the Office’s approval; (18) Performing the management duty in a manner that indicates a negligence of reasonable performance of duty in supervising persons
reasonable to increase the flexibility in submitting the report to be in line with the operation procedures of the business operators, whereby the business operators may request an extension in submitting
or GLH benefited from these loans or any reasonable grounds to believe it was done for the benefit of GL and/or GLH businesses. SEC Act S.281/2 paragraph 2 in conjunction with 89/7 89/24 311 and
competent officer without a reasonable cause or excuse. This case is in the process of inquiry by the inquiry official. DAB Act S.75 Criminal Complaint Filed with an Inquiry Official Dated 07/09/2022
of information requested by the competent officer without a reasonable cause or excuse. This case is in the process of inquiry by the inquiry official. DAB Act S.75 Criminal Complaint Filed with an
operate such businesses with reasonable costs because the current licensing regime under the Ministerial Regulation is securities license which includes various groups of securities business and all
or not complying with any significant approval requirements for the offering of trust unit within the period of 5 years before applying for the offering; (2) pose no reasonable doubt to its ability to
application, unless an exemption is granted by the SEC Office on the ground that the offering is necessary, reasonable and adequate measures for the offering for sale have been adopted; (7) there are no grounds
คล่องสุทธิ (“NC”) หรืออัตราส่วนเงินกองทุนสภาพคล่องสุทธิ (“NCR”) เท่ากับหรือน้อยกว่า 1.5 เท่าของเกณฑ์ขั้นต่ำ (เป็นระดับ early warning เท่ากับ 10.5% หรือ 37.5 ล้านบาท กรณีประกอบธุรกิจหลักทรัพย์และเป็นตัวแทน