its business by maintaining corporate image and reputation including credibility of capital market essentially, as well as operates its business with reasonable awareness by taking account of time

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

image and reputation including credibility of capital market essentially, as well as operates its business with reasonable awareness by taking account of time, business manner or circumstance, and

a derivatives intermediary. “ client ” means a person who uses or will use services relating to securities businesses from a securities company or derivatives business from a derivatives intermediary

Commission No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives Business By virtue of Section 9 and the third paragraph of Section 16 of the Derivatives Act B.E. 2546 (2003) which contains

cause damage, or not having any behavior which indicates an ongoing financial problem, including having no reasonable ground to believe that there is a shortcoming or unsuitability encompassing business

the cause under Clause 4 (3), the derivatives business operator shall remove such executive from the position or from office within a necessary and reasonable period of time without delay. Clause 6

opinions on by the auditor of the mutual fund and certified by the management company, within fifteen business days as from the dissolution date of the mutual fund; Where it is necessary and reasonable, the

. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September

believe that there is or was a demeanor of negligent act relating to reasonable supervision to prevent juristic person or business under one’s management or to prevent staffs under one’s supervision (if any