of commercial bank, securities company or financial institution established under specific law due to the lack of qualifications or the possession of prohibited characteristics pursuant to the law
more than three months prior to the date of application submission; (7) draft of terms and conditions of warrants; (8) a certification letter of independent directors’ qualifications. 2 In cases where
/ActandRoyalEnactment/Act/act-sea1999-no2.pdf (Translation) of qualifications or possession of prohibited characteristics under Section 21; (5) 4 termination by the Cabinet’s resolution upon recommendation of the SEC, as
statements may be required instead of quarterly financial statements, and the qualifications for CFOs may not be determined. Auditors outside a list of certified auditors by SEC may also be considered
Notification No. TorThor/Nor/Khor. 4/2548 Re: Qualifications and Other Prohibited Characteristics of Executive of Securities Companies dated January 17, 2005 and Clause 3(15) of the Notification of Capital
performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may be, as
; (f) arranger of the offer; and (g) other parties who are responsible for disclosure contained in the prospectus (if any). C. Auditors 1. Provide the names, addresses and professional qualifications
the Capital Market Business Clause 4 Personnel in the capital market business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited
business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may