of commercial bank, securities company or financial institution established under specific law due to the lack of qualifications or the possession of prohibited characteristics pursuant to the law
, finance business, credit foncier business; (b) securities business; (c) derivatives business; (d) insurance business; (e) government financial institution established under specific law; Chapter 1
. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)
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
considering the appropriateness of investment, the objective of investment, the financial position or the demand of any specific person. “investment planner” means a person providing investment consultation to
, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of prohibited characteristics in Group 3 under Chapter 7. Clause 25 In case personnel in the capital
: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities
established under specific law. (10) “executive” means any manager or holder of the first four executive positions after the manager and all persons holding the position equivalent to the fourth executive, and
) $ A- K "% ' A )1 (notch) (.E0&'(00 A +,". - ( "# (issue) /'/0.E00 * # credit rating ) R&."# (issuer) 1($(6." specific risk %0 ."' +,"#10.# 4 (.$ ' rating "% ' rating ) issuer &' )1 (notch