; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within three years preceding the year of filing application toward the
; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within three years preceding the year of filing application toward the
operating securities business in the category applying for the license, and other businesses as permitted by the SEC; (3) be able to show that its operational system will be prompt for operating securities
operating securities business in the category applying for the license, and other businesses as permitted by the SEC; (3) be able to show that its operational system will be prompt for operating securities
Thailand throughout the term of the bonds. 6. There is no ground to suspect that the lead regulator of the capital market of the country wherein the issuer is established is unable to provide an assistance
-off or any other matters of unfair treatment against such person because the said person: (1) gives information, cooperates or gives assistance by any means to the SEC, the Capital Market
-off or any other matters of unfair treatment against such person because the said person: (1) gives information, cooperates or gives assistance by any means to the SEC, the Capital Market
undertaking of such legal entity; (2) be able to show that its operational system will be prompt for operating securities business in the category of investment advisory service; (3) be able to show that its
of the capital market of the country wherein the issuer is established is unable to provide an assistance to the SEC Office. 5. No record of breaches of regulations and laws (i.e. being currently
equivalent to the fourth rank]" by more than one tier, all higher-level-positions in the same hierarchy pillar must be considered as executive as well. Therefore, both Manager Z and Assistance CFO Y are