. KorThor/Nor/Khor. 37/2548 Re: Qualifications and Prohibited Characteristics of an Executive of a Derivatives Business Operator dated 13 September 2005 stated that an appointment or the consent to have any
discharged the executive or personnel responsible for the cause of prohibited characteristics of the applicant. 4.6 Having not deliberately concealed the financial status or the operating result during the
control and good practice; (3) being able to show that the capital market personnel performing duties in any of the following areas have the qualifications and do not have any prohibited characteristics
encompassing business control and good practice; (3) being able to show that the capital market personnel performing duties in any of the following areas have the qualifications and do not have any prohibited
qualifications as prescribed under Clause 7; (2) the applicant does not have any prohibited characteristics under Clause 8, and (3) the applicant has paid for the application fee under the Notification of the
following conditions: (1) the applicant have qualifications as prescribed under Clause 7; (2) the applicant does not have any prohibited characteristics under Clause 8, and (3) the applicant has paid for the
Qualifications and Prohibited Characteristics of Directors and Executives of Derivatives Business Operators (Codified) (Synopsis) 03/08/2009 01/09/2009 Contact The Securities and Exchange Commission, Thailand
Notified Date Effective Date 1. Notification of the Office of the Securities and Exchange Commission SorKhor 22/2553 Prohibited Characteristics of Directors, Executives and Major Shareholders of