criminal proceedings by an agency having charge and control of the law, for an offence relating to unfair practice concerning securities or derivatives trading or administration amounting to deception
about arranging, safeguarding and administration of the assets; (b) in case any law stipulates that the client ’s assets shall be in custody of a third party, the intermediary shall provide efficient
the subject of any banning or prohibition order of sale by Home Regulator. Yes No If “No”, please specify __________________________________________________
organization; (2) provincial administration organization, municipality, Bangkok Metropolitan Administration, Pattaya City and any other local government organizations specified by law as special local government
protect the client ’s assets and comply with the specific Notifications stipulating about arranging, safeguarding and administration of the assets; (b) in case any law stipulates that the client ’s assets
the Capital Market Supervisory Board governing subscription, underwriting and allotment of newly issued securities. Clause 7. The prohibition of securities subscription under Clause 5 or the prohibition
to allocate securities under the Notification of the Capital Market Supervisory Board governing subscription, underwriting and allotment of newly issued securities. Clause 7 The prohibition of
NRI CIS have been or would be offered for sale in Home Jurisdiction, and have not been the subject of any banning or prohibition order of sale by Home Regulator. Yes No If “No”, please specify
performing in the system development division from the division and personnel performing in the system administration division and shall provide a cross-check system among the personnel in such units. However
approval term, considering the graduation year, in either one of the following fields: (i) Business administration, finance, accounting or economics; (ii) Any field with at least half of the curriculum