capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of being punished or legally proceeding against for management in the
License to be Derivatives Broker _____________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and
the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34, Section
prohibited characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited
____________________ By virtue of Section 9 and Section 15 of the Trust for Transactions in the Capital Market Act B.E. 2550 (2007), which contain certain provisions relating to restriction of rights and liberties of
mechanism for supervising relevant service providers has also been established to create trustworthiness and increased security. 4 Rules and Regulations Key Points 5. Securities and Exchange Act (No. 6) B.E
the Derivatives Act B.E. 2546 (2003) and Section 8(1) and Section 76 of the Trust for Transactions in Capital Market Act B.E. 2550 (2007) which contain certain provision in relation to the restriction
financial reports of listed companies The quality and reliability of listed companies’ financial reports play a pivotal role in supporting transparency and trustworthiness of the Thai capital market. To that
the correctness, completeness and trustworthiness of the financial reports of the company. Opinions concerning the adequacy of the company’s internal control system. Opinions concerning the