shall be paid within ten days as from the date the SEC Office notifies the result of preliminary consideration that applicant possesses qualification and does not possess prohibited characteristics: (1
______________________________________________________________________ Remark: The rationale for issuing this Notification is to ensure that the person granted a license to be derivatives broker possesses strong financial position and reliability. It is, therefore
issuing this Notification is to ensure that the person granted a license to be derivatives broker possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the
. When it appears that any executive of a securities company possesses any prohibited characteristic, the Office shall proceed in accordance with the rules and procedures specified in the Notification of
conduct and professional standard as specified by the association with approval from the SEC Office, mutatis mutandis; Clause 9. In case where person approved as manager of infrastructure fund possesses
brokerage; (3) maintaining the proportion of shareholding that possesses the specified characteristics under Clause 3 throughout undertaking business of precious metal derivatives brokerage; In case a person
4 throughout undertaking business of precious metal derivatives brokerage; (3) maintaining the proportion of shareholding that possesses the specified characteristics under Clause 3 throughout
possesses the following qualifications: (1) having paid-up registered capital not less than 100 million Baht; (2) there is no [i] reasonable grounds to believe that the applicant’s financial status may cause