offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an

Act. “competent official” means any person appointed by the Minister to perform duties under this Act. “Minister” means the Minister in charge of this Act. SECTION 4 A trust may be created for the

. “registrar” means a person appointed by the Minister to be the Registrar of provident funds. “competent official” means a person appointed by the Minister to execute the duties in accordance with this Act

English translation is strictly for reference. Please also note that the translation has not been subjected to an official review by the SEC Office and the SEC Office cannot undertake any responsibility for

is strictly for reference. PAGE 2 Notification of the Office of the Securities and Exchange Commission No. SorThor. 67/2558 Re: Official Holidays of Securities Companies and Derivatives Business

have committed predicate offences or money laundering offences under the Thai or foreign laws, including their associates; (2) list of name of politically exposed persons (PEPs), either Thai or foreign

court for an offence relating to property committed with dishonest intent: O yes O no 6.3 Having been a director, manager or person with managing power of a financial institution whose license has been

, regardless of whether the sentence has been suspended, except for the offences committed through negligence or minor offences; (4) being or having been a political official or holding or having held any

offered for sale in an ASEAN country; (c) debt instruments without high-risk or complex characteristics issued and offered for sale in an ASEAN country. “ agricultural commodity trading management official

the proceeding power ” means an official receiver and the SEC Office. “ client asset account ” means an account of a client’s assets prepared by an intermediary in accordance with the law on derivatives