shareholder’s equity of the securities company. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge by law, and has no records on offences relating to unfair securities
lawsuit by an authority in charge by law, and has no records on offences relating to unfair securities trading, derivatives trading or mismanagement in the manner of deception, frauds or corruption during
of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records on offences relating to unfair derivatives trading
on offences relating to unfair derivatives trading, securities trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best
used to aid or abet the others in connection with such behavior; or (2) has or used to have any behavior that, if considered on a reasonable ground, indicates unfair practices or disadvantage to
shareholders’ rights, unfair treatment toward shareholders or disclosure of information to shareholders and general investors; (2) having any of the following characteristics within one year prior to the filing
may cause an adverse effect to the credibility of the Thai capital market as a whole; (4) the offering of securities may cause any damage or an unfair treatment to the investors as a whole, or the
or the agencies relating to capital market business which are recognized by the SEC Office; 14 (5) not having a demeanor of unfair act or taking advantage of investors on trading or investing in