irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for operating fund supervisor business, at least
legal entity; (4) Being able to show that person who is director, manager or person with managerial authority being responsible for the applicant’s undertaking of derivatives business has qualifications
undertaking of such legal entity; (4) Being able to show that person who is director, manager or person with managerial authority being responsible for the applicant’s undertaking of derivatives business has
) investment units of a mutual fund offered for sale to non-retail investors in accordance with the Notification of the Capital Market Supervisory Board Re: Rules, Conditions and Procedures for Establishment
establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries, having obtained
compliance with law establishing such legal entity or law controlling business undertaking of such legal entity; (4)3 being able to show that capital market personnel performing one of the following duties has
legal entity or law controlling business undertaking of such legal entity; (4)3 being able to show that capital market personnel performing one of the following duties has qualifications and does not have
/2016: Baht 349.5 million); namely, a decrease of Baht 49.5 million, or -14.1%, YoY as a result of the utilization of the investment promotions tax privileges from the establishment of international