controlling the business operation of the applicant i.e. a capital funds maintenance calculating form for a commercial bank registered in Thailand (ThorPhor. 10) as of the latest month. 2.3 Measure on
. Management discussion and analysis Certification of Information Attachments: Attachment 1: Details of directors, executives, controlling persons and company secretary Attachment 2: Details of directors of
securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has prescribed, the Office shall have the authority to waive
deceases, resigns or SEC has annulled the approval, or securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has
hours of the securities company. (2) publicize or disseminate the information on the implementation under (1) to the client; (3) disclose the redemption price to the client; (4) examine and supervise the
the person controlling securities trading of the client, and provide sufficient data or documentary evidence to ascertain a client’s financial status and debt repayment ability. In case of a retail
and in the best interests of each client, as well as monitor and supervise to ensure that any preparation and giving of advice adheres to the generally- accepted principles and that such advice is
related party transactions 33 Part 3: Financial Statements 36 Part 4: Certification of Information 37 Attachments: Attachment 1: Details of directors, executives, controlling persons, the person assigned to