Clause 14(2) of the Notification No. SorKhor.49/2552 and Clause 20(2) of the Notification No. TorLorThor. 3/2555 was the 3rd category of prohibited characteristics of the capital market business personnel
characteristics of personnel in capital market and executives of securities companies under the relevant Notifications.**For breach of duty, the SEC barred {A} from holding any securities company management
their shareholding or common management with the issuer who issues underlying shares, particularly the persons with any of the following characteristics: (1) holding, directly or indirectly, more than 25
seeking an approval to act as a mutual fund manager shall not possess any of the following prohibited characteristics: (1) Being a bankrupt; (2) Having been imprisoned by a final court judgment for an
following prohibited characteristics: (1) Being a bankrupt; (2) Having been imprisoned by a final court judgment for an offense relating to property committed with dishonest intent; (3) Having been an
director of the management company; (3) the appointee shall not hold any other position in the management company except where such position has either of the following characteristics: (a) not causing any
following characteristics: (a) not causing any conflicts of interest with management of funds, or (b) being the position of director or derivatives investment manager or the position under Clause 7 (2) (a
1/12 A foreign auditor having the characteristics and complying with the following rules shall be approved by the SEC Office to perform audit work and affix signature in giving opinions on the