Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is
) being capable of maintaining capital and reserve under relevant supervisory law; (3) demonstrate efficient systems to prevent conflict of interest, Chinese wall among different departments and staffs
category under the relevant supervisory law; (2) being capable of maintaining capital and reserve under relevant supervisory law; (3) not being restricted, suspended or restrained of its operation by
starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by
control and good practice; (3) being able to show that the capital market personnel performing duties in any of the following areas have the qualifications and do not have any prohibited characteristics
reasonable ground to believe that the applicant has any deficiency or inappropriateness regarding the sound business control conduct; (3) being able to maintain capital funds and set aside reserve capital in
sound business control conduct; (3) Being able to maintain capital funds and set aside reserve capital in compliance with law establishing such legal entity or law controlling business undertaking of such
(Level 3) in Chartered Financial Analyst (CFA) or Certified Investment and Securities Analyst (CISA) or any other equivalent courses as approved by the Office, or (c) being permitted by a foreign capital
Investment and Securities Analyst (CISA) or any other equivalent certificates as approved by the Office, or 3. Being permitted by a foreign capital market regulator, which is accepted by the Office, to perform
, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of