date of obtaining the license, not have criminal records indicating commission of offense under the law controlling business operation of such person or any other law relating to financial business, both
circumstances showing the holder’s financial hardship; (2) within three years preceding the year of filing application toward the date of obtaining the license, not have criminal records indicating commission of
: Data under Section 26 of the Personal Data Protection Act, for example, criminal record, nationality, religion. Qualification data: Data relating to the qualifications of business operators, which will
the failure to comply with the Emergency Decree is subjected to criminal provisions in which both the offences and the degree of penalties are comparable with those of the Securities and Exchange Act
date of obtaining the license, not have criminal records indicating commission of offense under the law controlling business operation of such person or any other law relating to financial business, both
criminal proceedings by an agency having charge and control of the law, for an offence relating to unfair practice concerning securities or derivatives trading or administration amounting to deception
executives under the regulations of the Stock Exchange of Thailand: O yes O no 6.13 pending under accusation or criminal proceedings by an agency having charge and control of the law, for an offence relating
executives under the regulations of the Stock Exchange of Thailand: O yes O no 6.13 pending under accusation or criminal proceedings by an agency having charge and control of the law, for an offence relating
Annual Report 2009 1 Annual Report 20092 Over the past year, the Thai economy experienced a recession for the first time since the Asian economic crisis in 1997. The first quarter saw a 7.1 percent contraction as a result of sluggish export in the midst of global financial crisis, diminishing demand of domestic private sector, and lack of confidence in economic and political directions. All these factors played out against a backdrop of weakening economies of our trade partners worldwide, which...
, the SEC does not have prosecutorial powers, but may refer criminal cases to the Department of Special Investigations (DSI) in the Ministry of Justice. This can be a source of delay as the DSI will