แนวปฏิบัติการส่งข้อมูลผ่านระบบ IPOS และวิธีการส่ง hard copy สำหรับตราสารหนี้ 1 ฝ่ายจดทะเบียนหลกัทรัพย์ตราสารหนีแ้ละตราสารอื่น ระบบออกและเสนอขายหลักทรัพย์ INITIAL PRODUCT OFFERING SYSTEM (IPOS) ปรับ

regard, such accusation or prosecution shall be on the ground resulting from management in manner of deceit, fraud, or dishonesty relating to offences against property, and mal-management thereof which

derivatives trading or guilty of deception, fraud or dishonesty, or having been fined for such violations; (c) having been named in any complaint relating to violation under sub clause (b) by financial

manner of deceit, fraud or dishonesty relating to offences against property as specified as prohibited characteristic in Group 2 under Clause 30; (3) having a reasonable ground to believe that there is a

risks of fraud and deception by dishonest persons, and preventing the exploitation of digital assets to support illegal transactions. In addition, other objectives of the Emergency Decree are to ensure

change of position of such person is required to be registered with the company-partnership registrar of the Ministry of Commerce, the derivatives business operator shall submit a copy of such registration

derivatives business operator shall submit a copy of such registration certificate to the SEC Office within fifteen days from the date of registration undertaken by the company- partnership registrar. Clause 7

or other documents, and ask for a copy of these documents if not provided. • Regularly review the performance of investments to see if they meet current risk tolerance level and investment objectives

1 แนวทางการยื่นค าขออนุญาตเสนอขายตราสารหนี ้และรายงานต่าง ๆ หมายเหตุ * การย่ืนข้อมูล feature – ส่ง hard copy กรณีตราสารระยะยาว : print ใบสรุปการส่งข้อมลูตราสารจาก IPOS ซึง่ได้ลงนามรับรองความถูกต้อง

related to deceit, fraud or dishonesty; (6) no any fact indicating that the applicant has financial difficulty that may cause any damage or other incidents indicating that such applicant is facing financial