of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records on offences relating to unfair derivatives trading
increasing shall be calculated in the shareholder’s equity of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records
: 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
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
UNOFFICIAL TRANSLATION Codified up to No. 10 As of 24 October 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 27 Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act B.E. 2535 (1992) , as amended by the Securities and Exchan...
Business (No.7) dated 30 August 2017 (effective on 1 October 2017). 1 Dishonesty defined as the dishonesty as prescribed in Section 1 of the Criminal Code B.E. 2499 (1956), which means doing any act in order
relationship risk which is not more than medium level or which is in the acceptable level, unless having obtained exemption from the SEC Office; (5) having not been accused of or subjected to criminal proceeding
accused of or subjected to criminal proceeding, whether under Thai or foreign laws, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully