Possession of Prohibited Characteristics _______________ (Translation) -3- Part 1 Prohibited Characteristics _______________ Clause 3 Personnel in capital market industry shall not possess any prohibited
have any of the following prohibited characteristics: (1) having deficiency in legal competence, for instance, being an insolvent person, incompetent or quasi-incompetent person; (2) having or plausibly
for the Agricultural Derivatives Business License (No. 2) dated 5 April 2017 (effective on 16 April 2017). 3 (2) being able to demonstrate the ability to comply with the conditions concerning the paid
opening including client identification, beneficial owner and controlling person. In this regard, the securities company shall consider the ability to pay debt of the client before opening the account. In
the application document for an account opening including client identification, beneficial owner and controlling person. In this regard, the securities company shall consider the ability to pay debt of
the SEC Office; (3) document demonstrating the opinion of the applicant relating to the capability of the income guarantor under sub clause (2) to comply with the agreement thereof. In this regard, in
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or
increased. The significant decrease of total debt to total equity ratio of the Company was due to the ability of revenue recognition from The Ritz-Carlton Residences, Bangkok (“RCR”) which is a part of
total debt to total equity ratio of the Company was due to the ability of revenue recognition from The Ritz-Carlton Residences, Bangkok (“RCR”) which is a part of MahaNakhon project. As a result, the