past year, there is no record of being ordered to amend its financial statements or to explain or being temporarily banned from trading its listed securities under the Trading Suspension sign (SP), etc
banned under the law on Supervision of Financial Institutions, either Thai or foreign law, provided that such prohibited characteristics are related to corruption, fraud / managing work in violation of law
resolution shall not have been passed more than one year. Public advertisement is prohibited. Promotion materials can only be distributed only in the PP cycle. Must not co-sign the filing to allow PP
) Related Forms Application Form for Approval (Form 19-1) Form for Certification of Personal Records and Non-Prohibited Characteristics (Supplement for Form 19-1) F orm for Summary of Digital Token Trading
Financial Institutions Businesses Act for not less than 4 years. (4) being attached to only one qualified audit firm; (5) not possessing any prohibited characteristics as prescribed by the SEC. Audit Firm
supervise financial business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
SEC. The mutual fund that provide beneficial interest for investors in the form of a life or healthcare insurance and the money market fund with constant NAV are prohibited from applying for automatic
SEC. The mutual fund that provide beneficial interest for investors in the form of a life or healthcare insurance and the money market fund with constant NAV are prohibited from applying for automatic
) Dividend payment by issuing investment units to unitholders is prohibited. Retained Earnings Net Profit Dividend Payment / / / / X / X / / X X X Authority of the SEC Fund managers Mutual
the applicant possesses prohibited characteristics as prescribed; Not appearing that its directors, manager and person holding executive position as a division manager or an equal position responsible