of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or

performance of duty as financial advisor under this Notification; (3) “supervisor database” means the database prepared by the Office under the rules prescribed by this Notification to display the name list of

: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities

possession of prohibited characteristics. − − ✓ 10 In case of applying for a new approval after completing revocation term due to possession of prohibited characteristics, the applicant must have the same

possession of prohibited characteristics. − − ✓ Remarks: 6 Application must be submitted within 5 years as from the expiration date of the previous approval. 7 A full course must have been taken for not more

allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept

) delivering a copy of monthly securities trading report which display transaction of securities trading to the subject securities companies within 28As repealed by the Notification of the Securities and

account with the securities company; (2) delivering a copy of monthly securities trading report which display transaction of securities trading to the subject securities companies within 28As repealed by

Possession of Prohibited Characteristics _______________ (Translation) -3- Part 1 Prohibited Characteristics _______________ Clause 3 Personnel in capital market industry shall not possess any prohibited

possession of prohibited characteristics. − ✓ Only examination on related rules is required. − Remarks: 5 Application must be submitted within 5 years as from the expiration date of the previous approval. 6 A