SEC; (2) not having a reasonable ground to believe that the applicant has financial condition that is likely to cause damage or any other circumstances indicating the applicant’s financial hardship. In
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct its business
Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct its business with honesty, fairness and
honesty and integrity based on their career records, as well as having skills and experiences which are beneficial to the business operation; (4) being able to show the readiness of its work system and
office. Clause 3. In order to ensure that representatives shall render services with honesty and due care for the best interest of investors as well as provide appropriate and adequate information in line
whether directly by itself or through its representative office. Clause 3. In order to ensure that representatives shall render services with honesty and due care for the best interest of investors as well
honor and just and equitable principles of trade based on honesty, fairness, diligence, capabilities, etc; - Has no disciplinary history for the past ten (10) years; - Has not been dismissed or requested
to cause damage or any other circumstances indicating the applicant’s financial hardship, including not having any reasonable ground to believe that the applicant has any deficiency or