first assessment, all listed companies are expected to achieve Level 1, signifying intent to comply with laws and regulations with ability to communicate with all stakeholders.Vorapol Socatiyanurak, SEC
Maintenance of capital funds and reserve (only in the case of a CB. or FC.) - a documentary evidence showing that the applicant is capable of maintaining capital funds and reserve prescribed by the law
Maintenance of capital funds and reserve (only in the case of a CB. or FC.) - a documentary evidence showing that the applicant is capable of maintaining capital funds and reserve prescribed by the law
indicating the name of the commercial bank, securities business operator or derivatives business operator that will be supervising the securities company and the name of any company that maybe delegated to
indicating the name of the commercial bank, securities business operator or derivatives business operator that will be supervising the securities company and the name of any company that maybe delegated to
for an exemption to the Office indicating the name of the commercial bank, securities business operator or derivatives business operator that will be supervising the securities company and the name of
circumstances showing the holder’s financial hardship; (2) within three years preceding the year of filing application toward the date of obtaining the license, not have criminal records indicating commission of
advice; (2) an evidence showing the delivery of document acknowledging the correctness and completeness of the adaptive information of a customer; (3) an analysis and document evidences supporting the
than two years from the date of preparing such document evidences: (1) information of a customer using for supplementing the giving advice; (2) an evidence showing the delivery of document acknowledging
disclose to the company and person appointed by the company the information as to whether I have any characteristics indicating untrustworthiness as specified in the Notification of the Securities and