SEC, Thailand can neither undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the
discharged the executive or personnel responsible for the cause of prohibited characteristics of the applicant. 4.7 Having not been prohibited, suspended or restricted to undertake business by the Capital
the category of derivative broker; (2) a securities company licensed to undertake securities business in the category of securities brokerage; (3) any other derivative business operator as additionally
home regulator, as the case may be. Clause 8 Prior to selling units of foreign collective investment scheme, a securities company shall at least undertake the following steps: (1) sending or distributing
registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
its custody; (2) any business operator, which ceases to undertake any particular category of its business by regulation or order, and when the SEC Office has received notice in writing from the business