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
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
dishonest business practice, or the law on anti-money laundering, regardless of whether such laws are domestic legislations or foreign legislations. It also shall have no record indicating frauds, dishonesty
indicating such change) 1.2 Type of Card [ ] Identification Card [ ] Passport (only for non-Thai national who does not have an identification card or does not know identification number) Card Number : Expiry
articles or research papers previously prepared and disseminated; (4) an article or research paper which contains a statement indicating the interest, whether directly or indirectly, of the person preparing
securities or other related securities, compared to other general articles or research paper previously prepared and disseminated; (4) an article or research paper which contains a statement indicating the
this regard, the respondent may file a counterclaim together with a letter indicating his intention relating to the above mediation. Clause 13. If the mediation of dispute is successful, the parties
regulator; (4) no any fact indicating that the applicant has financial difficulty that may cause any damage or other incidents indicating that such applicant is facing financial difficulty. In addition, there
Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the