which may affect the company’s credibility should it undertake fund management business, and whether the company has prepared for the operations of the branch office to be established, an operating system
affect the company’s credibility should it undertake fund management business; (3) The management company has shown that it has prepared, for the operations of the branch office to be established, the
trading by minimum disclosure of the following information: (1) information relating to the financial status, credibility and scope of the derivatives dealer ’s business; (2) detailed information pertaining
credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which the intermediary shall comply with. In this regard, the
and the credibility of the companies. Since it is possible that those committing predicate offences under anti-money laundering legislations may use securities transactions to launder illegal proceeds
; □ (2.3) Personnel planning for business expansion (if any). In the case where no personnel has been hired, the applicant shall submit the criteria for qualifications of such position. □ 5. Other supporting
position to be as required by the rules, and receives the permission from the Office to expand their business operation For the purpose of the first paragraph hereof, “Expansion of operation” means: (1
starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by
an intermediary as capital market servicer renders credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which
to the public and may materially affect business undertaking, reputations or credibility of the Company or the subsidiaries. 10.4 Social and environmental activities : After-process social and