. When it appears that any executive of a securities company possesses any prohibited characteristic, the Office shall proceed in accordance with the rules and procedures specified in the Notification of
controlling its business by mean of maintaining capital adequacy and capital reserve as prescribed by related rules. Provided that, after submitting an application, if it appears that the applicant can not
application, if it appears that the applicant can not maintain the capital adequacy or capital reserve, the applicant shall notify the Office in writing immediately of such matters; □ (2) Audited financial
. Clause 8. In cases where there appears later any fact that any capital market personnel who is director or manager of a securities company, director, manager or person with power of management of
. In case it appears to the Office that the investment in securities or the trading in derivatives by any derivatives broker violates or does not comply with this Notification or the guideline set by the
” under Section 3 of the Derivatives Act B.E. 2546 (2003). Clause 12. In case it appears to the Office that the investment in securities or the trading in derivatives by any derivatives broker violates or
characteristic as specified in (3) of the definition of “derivatives contract” under Section 3 of the Derivatives Act B.E. 2546 (2003). Clause 12. In case it appears to the Office that the investment in securities
throughout the period when they are on the disclosed list. Clause 8 In cases where it appears to the SEC Office that the units of foreign ETF which have been examined and deemed to have the characteristics
guidelines specified for implementation in accordance with this notification. Clause 9. In case where it appears to the SEC Office that any derivatives broker violates or fails to comply with this notification