Exchange, the over-the-counter center, or the Derivatives Exchange, who is in the position or the condition that can access inside information through performance of duties; (5) Juristic person whose
having fulfilled the condition of attending a refresher course in accounting as required by the SEC Notification No. TorJor.39/2559; In case of a foreign company, a chief accountant is required to
securities company with disqualified characteristics under sub-clause (3); (5) have financial condition or result of operation which the SEC may consider that the securities company severely suffers loss, the
condition or result of operation which the SEC may consider that the securities company severely suffers loss, the consideration on which shall take the following factors into account; (a) difference of
a ready condition to seek for benefits Consider distribution of profit shares to the trust unitholders Organize meetings of the trust unitholders annually, and by request of the unitholders Related
with law controlling business undertaking of such legal entity; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within
- (1) not have financial condition that is likely to cause damage or have any other circumstances showing the holder’s financial hardship; (2) within three years preceding the year of filing application
be in form as specified by the SEC. Clause 6 In issuance of securities business license in the category of inter - dealer brokerage, there shall be a condition specifying that the licensee shall
condition under the following cases: (1) In the case of unitholding in ETF by the Participating Dealer( PD)/Market Maker (MM) as appointed by the mutual fund management company; (2) A retirement fund (RMF