Clause 4 as the first category of prohibited characteristics; (2) having any record of deceitful, fraudulent or dishonest management of assets as specified by Clause 5 as the second category of prohibited
securities trading or management in a deceitful, fraudulent or dishonest manner, or under the laws relating to money laundering control; (Translation) - 4 - (9) Having been sentenced for commission of any
securities trading or management in a deceitful, fraudulent or dishonest manner, or under the laws relating to money laundering control; (Translation) - 4 - (9) Having been sentenced for commission of any
DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning
a trust, such person has been sentenced by a final judgement in an offense concerning property, only for a cause arising from a deceitful, fraudulent or dishonest act that results in widespread damage
Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities
newly issued shares, the applicant has been sentenced by a final judgement in an offense concerning property, only for a cause arising from a deceitful, fraudulent or dishonest act that results in
has been sentenced by a final judgement in an offense concerning property, only for a cause arising from a deceitful, fraudulent or dishonest act that results in widespread damage, either under Thai or
has been sentenced by a final judgement in an offense concerning property, only for a cause arising from a deceitful, fraudulent or dishonest act that results in widespread damage, either under Thai or
conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in