proceedings resulted from denunciation by such authority or have been barred from serving as director or executive of the financial institution or have been imprisoned by the court’s final judgment regardless

Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform

Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister

seeking to benefit from difference or change in price: (1) cash: (2) bank deposit or negotiable certificates of deposit of a financial institution which may be redeemed without any redemption period limit

granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance

exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse

companies shall not allow the use of anonymous or fictitious names in opening of accounts or conducting securities transactions. Clause 12. In case where an account is opened by a financial institution in

Securities and Exchange Commission. Clause 3. Applicant for an approval to be a custodian under Clause 4 must be a financial institution in any of the following categories : (1) Commercial bank under the law

court for an offence relating to property committed with dishonest intent: O yes O no 6.3 Having been a director, manager or person with managing power of a financial institution whose license has been

plans for the clients as well; (9) “ financial institution ” means a financial institution having any of the following characteristics: (a) a commercial bank under the law on financial institution