use to provide service and store document; (2) arrange to have a notice board, which can clearly be seen, indicating the nature of services to be provided on the area under (1). Clause 9. The branch
offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an
guidelines in accordance with the laws, rules and regulations in the environmental area related to business operation of the Company and subsidiaries, by reflecting how the Company is committed to mitigating
offense relating to property committed with dishonest intent; (3) Having been an executive of a financial institution whose license is revoked, unless an exemption has been granted by the Office; (4) Having
of whether the sentence has been suspended and have been discharged for a period of less than three years after being sentenced in the offences of fraudulent or dishonest management relating to
person who take care of in-house training to include the deficiencies area in the next year training course? 4 Whether the policies, procedures, checklist and quality control systems are appropriately
undertaking of the business, the law on anti-money laundering or other law relating to financial business relating to unfair securities trading or fraudulent or dishonest practice, regardless of whether such
เกี่ยวข้อง เช่น - การเข้าโครงการ Accelerator, Incubator - การเข้าโครงการ FinTech Challenge - อื่น ๆ (โปรดระบุ) สมาชิกในเครือข่าย หรือความร่วมมือกับองค์กรต่าง ๆ ที่เกี่ยวข้องกับ area ในการทดสอบ ผังโครงสร้าง
irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of
, with a view to: (a) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business