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
have recruitment policies and procedures? If yes, please describe. 2 How the firm determines staffing requirement and minimum qualifications for each position? 3 Does the firm always acquire satisfactory
performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may be, as
memorandum regarding such transaction to the SET and appoint an independent financial advisor to provide opinions on the transaction as well as arrange to obtain approval from its shareholders’ meeting on the
obtain approval from its shareholders’ meeting on the entering into the connected transaction with votes of not less than three-quarters of the total votes of the shareholders attending the meeting and
profession standards. Furthermore, the SEC representatives attended conferences to share ideas and experiences with the stakeholders and participated in domestic and international symposiums. obtain certain
(Whitewash). To obtain such waiver, it is required to comply with the applicable notification, and the shareholders’ meeting shall resolve to approve the offering and sale of new ordinary shares of the Company