Thailand and the Department of Special Investigation) in the offences relating to unfair securities trading or management with nature of deceit, fraud or dishonesty, in which case the SEC shall remove such
dishonesty, deceit or embezzlement and wrongful use of client?s assets. Following the complaint lodged by clients of Siam City Securities Co., Ltd., and the company?s report on investigation spurred from
nature of deceit or dishonesty or irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for
, regardless of whether such laws are Thai or foreign laws, which concern unfair practices of securities trading or business operations with the nature of deceit, fraud or dishonesty; (3) During the course of
Criminal Code, as the case may be. Furthermore, the submission of false documents and information to the competent official of the SEC and the deceit to the auditor is liable to be in violation of Section
or offences related to deceit, fraud or dishonesty; (6) no any fact indicating that the applicant has financial difficulty that may cause any damage or other incidents indicating that such applicant is
related to deceit, fraud or dishonesty; (6) no any fact indicating that the applicant has financial difficulty that may cause any damage or other incidents indicating that such applicant is facing financial
regard, such accusation or prosecution shall be on the ground resulting from management in manner of deceit, fraud, or dishonesty relating to offences against property, and mal-management thereof which