date of obtaining the license, not have criminal records indicating commission of offense under the law controlling business operation of such person or any other law relating to financial business, both
date of obtaining the license, not have criminal records indicating commission of offense under the law controlling business operation of such person or any other law relating to financial business, both
operation of securities businesses by the virtue of provisions under the Securities and Exchange Act B.E 2535 only. In so doing, the association must acquire a license and register with the SEC. The SEC
comply with the rules, standards or work ethics specified for the regulated person. The SEC or other regulators may impose the following orders: rectification of non-compliance operation, restriction of
person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records, who are capable and have experiences beneficial to business operation; (3
person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records, who are capable and have experiences beneficial to business operation; (3
condition or result of operation which the SEC may consider that the securities company severely suffers loss, the consideration on which shall take the following factors into account; (a) difference of
condition or result of operation which the SEC may consider that the securities company severely suffers loss, the consideration on which shall take the following factors into account; (a) difference of
Functions Related to Business Operation to Third Party The Notification of the Office of the Securities and Exchange Commission No. SorThor. 51/2561 Re: Outsourcing Function related to Business Operation to
are, such as, Risk factors Type of operation Capital structure Management structure Related transaction Evaluation report of the internal control system by Internal Auditor (IA) Management Discussion