Securities and Exchange Act, B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4), B.E. 2551 (2008), which contain certain provisions in relation to the restriction of rights and liberties of
Securities and Exchange Act B.E. 2535 (1992) and Section 139(5) of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No.2) B.E. 2546 (2003) which contains certain
case of prohibited characteristics in Group 2, the removal shall begin when there is a certain fact appeared to the SEC Office that such person has possessed the prohibited characteristics under Clause
of such change. Clause 22 An intermediary shall report the SEC Office in writing in case there is a certain fact appeared that the persons appointed or assigned to perform functions [of the positions
acquisition of a business, unrelated to the operation of the current business. 3. To repay a loan or debt incurred from an issuance of debt securities. · In case of debt repayment to a group of financial
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
3 of Section 16 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
or a group of persons who authorized a management company to manage a private fund; “Liquid asset” means assets as follow: (a) Cash or deposit money; (b) Certificate of deposit or promissory notes
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
Exchange Act (No. 2) B.E. 2542 (1999) and Section 18 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons, which Section 29