disqualification to leave the company. Clause 5. The securities company shall arrange for the full-service branch office to have a branch office manager and the following work units: (1) A securities services unit

disqualification to leave the company. Clause 5. The derivatives broker shall arrange for the full-service branch office to have a branch office manager and the following work units: (1) A derivatives services unit

company cause the relevant executive or personnel who is responsible for such non-compliance to leave so as such person is no longer be related with the management company. Clause 6. The Office shall

offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an

have committed predicate offences or money laundering offences under the Thai or foreign laws, including their associates; (2) list of name of politically exposed persons (PEPs), either Thai or foreign

its personnel committed in the name of the intermediary ; (2) the insurance shall be used only for the maintenance of capital under Paragraph 1(3) of Clause 4 of the Notification concerning Maintenance

against any employee who has committed an IT security breach. Chapter 3 Management of IT Assets and Access Control _______________________ Clause 14 In managing IT assets and assess control of data and

offense relating to property committed with dishonest intent; (3) Having been an executive of a financial institution whose license is revoked, unless an exemption has been granted by the Office; (4) Having

……………………………………………………… By (name of the organization)...…………….(attachment)(if any) O No 2.2 For the past 3 years prior to the application filing (1) Was imprisoned by final judgement in offence against property committed with

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