whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited
any prohibited characteristics as specified in the Notification of the Securities and Exchange Commission on prohibited characteristics of securities business personnel. When it appears that any
controlling its business by mean of maintaining capital adequacy and capital reserve as prescribed by related rules. Provided that, after submitting an application, if it appears that the applicant can not
. In case it appears to the Office that the investment in securities or the trading in derivatives by any derivatives broker violates or does not comply with this Notification or the guideline set by the
guidelines specified for implementation in accordance with this notification. Clause 9. In case where it appears to the SEC Office that any derivatives broker violates or fails to comply with this notification
necessity prior to the end of such period of time. Clause 4. In the case where there appears later a change of any material information provided in the application filed with the Office, the securities
provider, in part that involves with the derivatives broker. Clause 12 . In case where it appears later to the Office that derivatives broker violates or fails to perform in compliance with this notification
. Clause 10. In the case where it appears later to the Office that securities company violates or fails to perform in compliance with this notification or the service provider does not have qualification as
. Where it appears that the provision of services by a branch office may cause damages to investors; or the continued operations of a branch office may damage the financial position and performance of a
; (6) Being an incompetent or quasi-incompetent person; (7) Being a person whose name appears on the list of persons considered by the Stock Exchange of Thailand to be unsuitable to act as an executive