SEC Office regarding an application for an offer for sale of newly issued shares due to a significant suspicious ground regarding management mechanism in any of the following manners: 1. having a

significant matter; (b) having been rejected by the SEC Office regarding an application for an offer for sale of newly issued shares due to a significant suspicious ground regarding management mechanism in any

issued shares due to a significant suspicious ground regarding management mechanism in any of the following manners: 1. having a possibility to be unable to treat shareholders fairly by giving benefits to

reasonably suspicious circumstance not to identify the real client or beneficial owner, the intermediary shall deny to provide any service. Clause 33 For the purpose of categorizing type of a client , an

of Securities Issuers. 4 Chapter 2 Power of the SEC Office _____________________ Clause 9 In the case where it appears to the SEC Office a fact causing any of the following suspicious grounds, the SEC

whether the nature of the estimate or assumption is material because of the subjectivity and judgment required to account for highly uncertain matters, as well as whether the estimate or assumption will

Thailand. The Bank of Thailand revised down the projection of overall economy for 2020 to contract 7.8% (as of September 2020) from the earlier forecast of 8.1%. But the fragile labor market, uncertain

continued to contract, especially investments in machinery and capital goods. The delays in business investment were attributable to weak demand and concerns over the uncertain economic outlook in the period

/client due diligence หรือ KYC/CDD) (4) การรายงานธุรกรรมที่มีเหตุอันควรสงสัย (reporting of suspicious transactions) ตามกฎหมายฟอกเงิน (5) การเก็บรักษาเอกสารหลักฐานภายใต้กระบวนการรู้จักลูกค้าและการตรวจสอบ

Clause 6 In case where the facts become apparent that the SEC Office discovers any of the following suspicious circumstances, the SEC Office may not grant approval for the offer for sale of securities