specified as prohibited characteristic in Group 2 under Clause 30; (3) having a reasonable ground to believe that there is a materially inappropriate demeanor [i] affecting clients , investors , the company

, derivatives business or trust business as a whole, or injury of business reputation, financial status, business operation or its clients ; (3) having a reasonable ground to believe that there is or was [i] a

considering of the appointment of the company’s executive: (1) there are reasonable grounds to believe that he or she is or having been reasonably suspected of malfeasance in the operation or service of

person specified under Clause 3(1), in which case the consideration of the paid-up capital shall be in accordance with Clause 5; (2) having no reasonable ground to believe that its financial condition may

regarding investments in securities or other assets or to acquire, by other means, returns that will become assets of the mutual fund; “Mutual fund” means any mutual fund which accepts or does not accept

obligation etc.. 3. Securities purchased under a reverse repurchase agreement means a loan with an agreement to accept the transfer of a financial asset from the other party in exchange for cash or in return

discontinuation of service provision under the regulatory sandbox ; (c) After consideration, the SEC has the following opinions: 1. there is a reason to believe that the provision of services cannot solve a problem

following conditions: (1) there is a reason to believe that the operation cannot solve a problem or develop the provision of services in the Thai capital market or does not benefit Thai investors or the Thai

provider’s unit and its personnel; (d) contingency management system which specifies procedures and a person in charge in each case clearly. (2) there is no reasonable grounds to believe that the financial

any ground to believe that there is a deficiency or inappropriateness in control and proper operation of the business; (5) procure necessary resources and a sufficient number of personnel with expertise