discharged the executive or personnel responsible for the cause of prohibited characteristics of the applicant. 4.6 Having not deliberately concealed the financial status or the operating result during the
restatement. (paragraph........); ( 6.4 Others (paragraph........). This summary is intentionally prepared for management of a company in submitting together with financial statements to the Securities and
institution; (14) Performing work in a dishonest manner; (15) Intentionally concealing investments, financial condition or the actual performance of a mutual fund or a private mutual fund operated under the
investor, or participates or supports or having participated or supported such act of other person; (5) there are reasonable grounds to believe that he or she intentionally makes or has intentionally make
, date of the incident……….. Details of such incident ……… …………………………………………………………………………… Considered by …………..……………..…. (attachment) (if any) O No (8) Intentionally made false statements of material facts or
as a result of acts or omission to act intentionally or negligently [causing damage to the intermediary ]; (b) measures and arrangements for business continuity of service provider which shall include
: (a) liability to the intermediary as a result of the service provider acting or omitting to act intentionally or negligently; (b) measures and arrangements for business continuity of the service
shall bear no term or condition in which the securities company can be waived its responsibility to the clients, whether it is done from the act or omission of an act, intentionally or by negligence of
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...