securities company, when requested under the KYC/CDD process; (4) the account is re-activated by a large size of transaction after being inactive for some time; (Unofficial Translation) - 8 - (5) significant
-face meeting) with staff of the securities company, when requested under the KYC/CDD process; (4) the account is re-activated by a large size of transaction after being inactive for some time
prohibited characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited
ต้องสอบผ่าน ตามเกณฑ์ท่ีก่าหนด 3. การทบทวนแบบประเมิน suitability test - หากลูกค้า inactive ในรอบ 2 ปีที่ผ่านมา ขอไม่จัดส่งเอกสารแจ้งลูกค้า แต่ใช้วิธี lock บัญชีของลูกค้า ใหไ้ม่สามารถท่าธุรกรรมต่อไปได้ โดย
time as specified by the Office or may revoke such approval previously granted: (1) Lacking qualifications under Clause 3(1) or (4); (2) Having any of the prohibited characteristics under Clause 4
Office or may revoke such approval previously granted: (1) Lacking qualifications under Clause 3(1) or (4); (2) Having any of the prohibited characteristics under Clause 4. Clause 9. In managing a mutual
Office or may revoke such approval previously granted: (1) Lacking qualifications under Clause 3(1) or (4); (2) Having any of the prohibited characteristics under Clause 4. Clause 9. In managing a mutual
compensating the lacking in sales and gross profit of other business which might affected by unfavorable economic and industry conditions. Combining two business, gross profits of the branded products by 3rd
major negative impact to temporarily interrupted in economy from power purchasing retardation in domestic and foreign and lacking of imported materials such as automotive production, electronic devices
capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of being punished or legally proceeding against for management in the