suspended and such securities company must not have any pending report. Such exemption shall desist when such securities company has resumed its business operation with the approval from the SEC or the Office
business applying for establishment; (2) a photocopy of the license of the existing trade association; (3) the regulations of the existing trade association certified by the Registrar of Trade Associations
revoked: O yes O however, such case has already been granted exemption by the SEC; O pending application for exemption from SEC; O other cases (please specify)…………………………………. O no 6.4 Being a director
million baht from the date of the shareholding structure in which one or several existing shareholders hold combined shares less than twenty-five percent of the company’s shares eligible for voting rights
into a transaction for its own benefit or for other person’s benefit before the benefit of its client by using information concerning [i] client ’s [pending] order for trading or engaging in a contract
center and other receivables such as a receivable of securities trading by cash who fail to pay within due period or a receivable pending under a composition proceeding or payment in installments. As for
) entering into a transaction for its own benefit or for other person’s benefit before the benefit of its client by using information concerning [i] client ’s [pending] order for trading or engaging in a
, prior to the effective date of this Notification, the derivatives broker has existing subordinated liabilities, which are not included in the calculation of the total liabilities under Clause 2, in the
frequency in reviewing shall depend on the level of client’s risk; (2) review client’s existing records and gather further information, if it is found that or there is a circumstance where :- (a) there is a
repealed by this Notification shall be deemed to be registered as derivatives business operator under this Notification in the existing type of its registration and shall maintain the status of its juristic