. When it appears that any executive of a securities company possesses any prohibited characteristic, the Office shall proceed in accordance with the rules and procedures specified in the Notification of
controlling its business by mean of maintaining capital adequacy and capital reserve as prescribed by related rules. Provided that, after submitting an application, if it appears that the applicant can not
application, if it appears that the applicant can not maintain the capital adequacy or capital reserve, the applicant shall notify the Office in writing immediately of such matters; □ (2) Audited financial
shall be revised and updated at least every year. (2) in cases where a client gives notice of any change in information or a fact appears to an intermediary that any material information of clients is
every year. (2) in cases where a client gives notice of any change in information or a fact appears to an intermediary that any material information of clients is inaccurate or inexact, such information
. Clause 8. In cases where there appears later any fact that any capital market personnel who is director or manager of a securities company, director, manager or person with power of management of
. In case it appears to the Office that the investment in securities or the trading in derivatives by any derivatives broker violates or does not comply with this Notification or the guideline set by the
” under Section 3 of the Derivatives Act B.E. 2546 (2003). Clause 12. In case it appears to the Office that the investment in securities or the trading in derivatives by any derivatives broker violates or