being punished or legally proceeding against for management in the manner of deceit, fraud or dishonesty relating to offences against property as specified as prohibited characteristic in Group 2 under
Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter Executives of securities companies and personnel in securities business |- Approval and
for management in the manner of deceit, fraud or dishonesty 1 relating to offences against property as specified as prohibited characteristic in Group 2 under Clause 30; (3) having a reasonable ground
dishonest business practice, or the law on anti-money laundering, regardless of whether such laws are domestic legislations or foreign legislations. It also shall have no record indicating frauds, dishonesty
, dishonesty, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the
in Group 1 under Clause 29; (2) having a record of legally proceeding against or being punished for management in the manner of deceit, fraud or dishonesty relating to offences against property as
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
regard, such accusation or prosecution shall be on the ground resulting from management in manner of deceit, fraud, or dishonesty relating to offences against property, and mal-management thereof which
of Certifier 54. Circular 13/2552 13/10/2009 16/10/2009 55. Circular 26/2552 10/09/2009 16/08/2009 56. Circular 12/2552 25/08/2009 16/08/2009 57. Circular 20/2554 23/12/2011
manner of deceit, fraud or dishonesty relating to offences against property as specified as prohibited characteristic in Group 2 under Clause 30; (3) having a reasonable ground to believe that there is a