SEC Office. (Reasons for seeking an exemption are required for the SEC Office's consideration). 4.5 Having not been accused of or subject to criminal proceeding, whether under Thai or foreign laws
person; (5) not being accused or proceeded in the criminal case by the authorized agency under its law, or has a final judgment of offences in operating derivatives business without license or registration
promulgation of this Notification is to improve forms for financial statements of securities companies and detailed explanations to be in compliance with accounting standards revised by Federation of Accounting
competitive, this Notification is issued to improve the rules regarding permission to establish branch offices so as to ensure that management companies are able to expand their business through opening of
under the regulations of the Stock Exchange of Thailand; (8) Being accused or prosecuted under the securities and exchange laws, the laws governing the undertaking of finance, securities and credit
laws are domestic legislations or foreign legislations, : O Yes (please specify) For example, the date of accusation or prosecution ………………………. Being accused or charged of.………………………...………… Under law
in Group 1: (1) being under receivership by court order or being a bankrupt; (2) being an incompetent or quasi-incompetent person; (3) [i] being accused by the SEC Office or being prosecuted as a
, defraudation or corruption: O yes (please specify in detail) for example, the date of being accused or under criminal proceedings ……………………… being charged of.………………………...……………………… ………………………………………………………………… by
the following acts unless having improve the adequacy in accordance with the prescribed rule: (1) providing service for a new customer; (2) extending the period of service to a former customer; (3
arbitral process under the Derivatives Act B.E. 2546 (2003) in addition to the arbitral process under the Securities and Exchange Act B.E. 2535 (1992), it is deemed necessary to improve the processes and