, whether under Thai or foreign laws, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully exploitable management, including not having such offense
accused of or subjected to criminal proceeding, whether under Thai or foreign laws, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully
-committee members, advisors, staff members, employees, or persons who work for derivatives exchanges from unlawfully seeking benefits by using the information obtained during the performance of their duties
, executives, sub-committee members, advisors, staff members, employees, or persons who work for derivatives clearing houses from unlawfully seeking benefits by using the information obtained during the
houses or central securities depositories from unlawfully seeking benefits by using the information obtained during the performance of their duties, as well as adequate measures to keep information of
things wrongfully, inappropriately and unlawfully, especially the stored things in respect of client’s private data, and unrevealed or non-public information; (3) appointing a responsible person who has
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. SEC Classification : ใชภ้ายใน (Internal) FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note: This annual registration s...