business in any of the following manners, such securities company shall have paid-up registered capital of not less than one hundred million baht: (1) keeping clients’ assets in its possession; (2) investing
possession, nor did she return the borrowed money to the client as agreed.The misconduct of Nutnicha was failure to perform duties honestly by committing wrongful acts against clients’ assets, which was a
select from. In so doing, the SEC Board would take into account the candidates’ possession of essential knowledge and experiences for managing the SET operation to ensure the SET stability, credibility and
to receive assets proven by evidence to be the client’s assets under possession of an intermediary under receivership by court order, the person with the proceeding power shall segregate and manage the
receive assets proven by evidence to be the client’s assets under possession of an intermediary under receivership by court order, the person with the proceeding power shall segregate and manage the
receive assets proven by evidence to be the client’s assets under possession of an intermediary under receivership by court order, the person with the proceeding power shall segregate and manage the
prescribed in the Notification No. KorChor. 8/2553, the company shall notify the possession of the first or the second category of the untrustworthy characteristics without delay, except for the cases that the
of qualifications or possession of prohibited characteristics under Section 21; (5) 4 termination by the Cabinet’s resolution upon recommendation of the SEC, as advised by the SEC, due to gross
shall be vacated upon: (1) death; (2) resignation; (3) [Section 22(3) was repealed by the Securities and Exchange Act (No.6) B.E. 2562] (4) lack of qualifications or possession of prohibited
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of