agencies under such laws in respect of any offense relating to unfair activities on securities trading or management in a deceitful, fraudulent or dishonest manner, or under the laws relating to money
concerning property, only for a cause arising from a deceitful, fraudulent or dishonest act that results in widespread damage, either under Thai or foreign laws; (3) being currently subject to a criminal
of whether the sentence has been suspended and have been discharged for a period of less than three years after being sentenced in the offences of fraudulent or dishonest management relating to
, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully exploitable management, nor having such offense record during the period as specified by the SEC
exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse
undertaking of the business, the law on anti-money laundering or other law relating to financial business relating to unfair securities trading or fraudulent or dishonest practice, regardless of whether such
, the applicant shall have no record of violation of the law governing the undertaking of its business, other laws relating to financial business and concerning unfair securities trading, fraudulent or
Office uses to increase or decrease the weight in considering the facts in general: (a) the involvement of a person in the prohibited characteristics such as being a principal, an user or a supporter, etc
increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to
managed by a management company. “Unit price” means a selling price or redemption price of investment units. “Price compensation” means an increase or decrease in the number of investment units of any