cause damage, or not having any behavior which indicates an ongoing financial problem, including having no reasonable ground to believe that there is a shortcoming or unsuitability encompassing business
may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being
-consuming projects or assignments such as real estate development business, building construction business, ship construction business, etc.). Disclose the values of the ongoing projects as of the most recent
Commission No. Kor Thor. 4/2557 Re: Ongoing Capital Adequacy of Some Specific Intermediaries dated 5 June 2014; (2) Notification of the Securities and Exchange Commission No. Kor Thor. 12/2560 Re: Ongoing
respective rights thereof as well. In the event that the Company or a subsidiary undertakes a property development business, clarify the characteristics of each ongoing significant project such as the project
under a specific law; (2) being able to show that a work unit responsible for providing services as securities registrar will be established separately from other work units; (3) being able to show that
position; (6) Fees charged on the derivatives transaction. Clause 4. Derivatives broker must show in the evidence of margin call at least the information as set out under Clause 3(1) and (3) as well as the
ทำความรู้จักลูกค้าในเชิงลึก (Client Due Diligence) (ง) การทบทวนข้อมูลลูกค้า (Ongoing / Enhanced KYC) (2) ระบบงานที่เกี่ยวข้องกับการนำเทคโนโลยีมาใช้ในการทำความรู้จักลูกค้า (ก) การบริหารความเสี่ยงด้าน IT (ข
) any business operator, which has not been permitted to operate business yet in any particular category, given the SEC Office’s ongoing process of inspection before operating business, shall be exempt
; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the regulations or conditions