financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings
Section 7 and the fourth paragraph of Section 90 of the Securities and Exchange Act B.E. 2535 which contains certain provision relating to the restriction of rights and liberties of persons which Section 29
____________________ Clause 14 A foreign entity who applies for approval of an offer for sale of the debt securities shall have the following characteristics: (1) the foreign entity is able to demonstrate that it has
certain provisions in relation to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34, Section 36, Section 41, Section 43 and Section 45 of the
Derivatives Act B.E. 2546 (2003) which contains certain provisions in relation to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34, Section 36
was able to maintain debt to equity ratio according to the restriction of long-term loans from local financial. Management and service agreement (Royalty fee) On 1 January 2015, the Group entered into
including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.113 Criminal
sufficient personnel to be able to operate the investment advisory service business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.115 Criminal Complaint Filed with
able to protect shareholders’ rights by allowing any person to receive financial gain beyond what should be received normally or by causing the company to lose a benefit that should have been received