), (12), (13), (14), (15), (16), (17) or (18) and the severity of behaviors of such person, after such factors as stipulated by the Office as per Clause 12 hereof have been considered, falls into the
ultimate controlling person, falls into one of the following situations, securities company shall classify the customer into a group that extra care is given and enhanced KYC/CDD process must be performed
ultimate beneficial owner or ultimate controlling person, falls into one of the following situations, securities company shall classify the customer into a group that extra care is given and enhanced KYC/CDD
the forced sale value of Land and Buildings that are appraised by Prospec Appraisal Company Limited, which is a valuer approved by the SEC. The value of the consideration falls into a range between the
of Land and Buildings that are appraised by Prospec Appraisal Company Limited, which is a valuer approved by the SEC. The value of the consideration falls into a range between the market value and the
consideration falls between the market value and the forced sale value appraised or equal to Baht 10.311 – 14.740 million. Such value of consideration is higher than the book value from the Company’s financial
emerged from the public, whether an ICO can be done legally, particularly whether it falls under the SEC’s regulations. Figure 1: ICOs that fall under the SEC’s purview 1.4 In cases where an ICO constitutes
) the auditor falls short of any qualifications under Clause 10(1) or (2); 11 (4) the auditor possesses any prohibited characteristics under Clause 15(1), (2), (4) or (5); (5) the SEC Office revokes or