Exchange Commission concerning Maintenance of Capital of Investment Advisors and Derivatives Advisors . “ financial institution ” means: (1) a commercial bank under the Law on Financial Institutions ; (2) a
securities for sale), financial advisor, lead underwriter, co-underwriter, the effective date of the Registration Statement, the conditions for cancellation of the offer for sale in the case that the amount of
to financial information; - In the case where the Company has disclosed a business plan or a financial prediction in the registration statement or the annual registration statement/annual report
objectives in relation to financial information; - If the Company has disclosed a business plan or a financial prediction in the registration statement or the annual registration statement, clarify the results
, such as, the Stock Exchange of Thailand, the financial institutions, the main service providers and the selling and redemption agents. 8.3 In order that relevant persons are able to comply with the BCP
responsible for the damage occurring to the financial institution whose license has been revoked, or business has been controlled or operation has been ceased due to the rehabilitation plan was not approved by
shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement
, policy and operating plan of the company and units of the company should be clearly prescribed and conform to the fiduciary duties and good corporate governance with an aim to enable the management company
its business rehabilitation or operational plan has not been approved by the regulatory agency of such financial institution or the Board of the Financial Restructuring Authority (FRA), or which has
financial stability with capability and readiness to provide service and comply with rules prescribed by the SEC or of the Office and guidelines specified by derivatives broker. Such guideline shall at least