controlling power and the nature of business during the preceding year as well as the material changes in the shareholding structure, management or business operation or any other important events (e.g., merger
the intermediary shall be informed without delay; (5) internal control for the operation shall be established in accordance with the information technology governance policy, which contains at least the
capital market product not having complex characteristics as well as the product having high-risk or complex characteristics which could be categorized as follows: (a) complex instrument investment
), as well as the AMLO’s issuance of the Counter-Terrorism Financing Act B.E. 2556 (2013) and subsequent rules with details pursuant to both Acts for application to intermediaries. The SEC Office hereby
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
, regardless of whether the sentence has been suspended, except for the offences committed through negligence or minor offences; (4) being or having been a political official or holding or having held any
case my application is incomplete and the SEC Office has already informed such incompleteness by e-mail, it is deemed that I entirely assent to such informed incompleteness as well as the period of time
against property, or lacking due care, loyalty or practice on code of conduct as a professional. Clause 31 In case there is a reasonable ground to believe that the following demeanors are committed, it
offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an
documents and evidence in full from the securities company, except in the case where there is a necessity to conduct further inspection of any facts and the Office has informed the securities company of such