derivatives, management of derivatives business, management of customers’ assets in derivatives business or any other positions or nature of work similar thereto for which the job holder is required to obtain

going to obtain approval as auditor in the capital market work part-time for the audit firm, such audit firm shall have not less than two certified public accountants; (b) in cases where the audit firm

representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of

for an offer for sale of newly issued bonds, the applicant has been sentenced by a final judgement in an offense concerning property, only for a cause arising from a deceitful, fraudulent or dishonest

application for approval for offer for sale of the debt securities, the applicant had been subject to a final court judgment on the basis of an offense related to assets particularly due to deceitful

has reported the features of the structured notes to be offered for sale to the SEC Office in accordance with the procedure specified in Clause 14; (3) the Company shall obtain a Board of Directors

public accountants, the following conditions shall also apply: (a) in cases where the audit firm has an auditor who has obtained or is going to obtain approval as auditor in the capital market work full

newly issued shares, the applicant has been sentenced by a final judgement in an offense concerning property, only for a cause arising from a deceitful, fraudulent or dishonest act that results in

obtain ACMF Pass and carry out investment advice which are permitted activities under the MOU in Host Jurisdiction. This handbook set out the guidance on ACMF Pass by: 1.2.1 Explaining the scope of

credibility of the Thai capital market as a whole; (4) the offer for sale of securities may cause [i] any damage or [ii] an unfair treatment to the investors as a whole or [iii] the investors not to obtain