having any circumstance which may cause an impact to the financial status or the operation of an applicant; (3) at least one of the directors has at least 3 years of work experience relating to buying or
discharged the executive or personnel responsible for the cause of prohibited characteristics of the applicant. 4.6 Having not deliberately concealed the financial status or the operating result during the
status and operating performance, securities business report, report of clients’ assets with the SEC Office using the forms annexed to this Notification within the schedules as follows: (1) the business
than 100 million Baht; (2) not having any circumstance which may cause an impact to the financial status or the operation of an applicant; (3) at least one of the directors has at least 3 years of work
than 100 million Baht; 2 (2) not having any circumstance which may cause an impact to the financial status or the operation of an applicant; (3) at least one of the directors has at least 3 years of work
financial status and business operation: Securities companies, excluding such securities companies licensed to undertake securities business in the category of securities finance, shall prepare and file this
Securities and Exchange Commission. Clause 33. The securities company shall prepare and file the reports with the Office using the forms and within the schedules as follows: (1) Report on the financial status