, conditions, and procedures prescribed by the SEC Office. The application for approval under Paragraph 1 shall comprise the followings: (1) application for approval of the qualifications of the applicant; and
Capital Market Supervisory Board Re: Qualifications of Bondholders’ Representatives and Authorized Actions of Bondholders’ Representatives; “financial advisor” means a financial advisor on the approved list
business license shall obtain securities business license only when it has the following qualifications: (1) having paid up registered capital not less than the amount specified in the notification of the
/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 person to be or to
Operator _________ Whereas Section 24 of the Derivatives Act B.E. 2546 (2003) and Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 37/2548 Re: Qualifications and
. 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
be: 6 (1) the foreign entity which will offer for sale of debt securities lacks qualifications or its compliance with the conditions after approval is inappropriate, or it will be unable to comply with
who are qualified as bond holders’ representative under the Notification of the Capital Market Supervisory Board Re: Qualifications of Bondholders’ Representatives and Authorized Actions of Bondholders
shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may be, as prescribed in this Notification: (1) managing, determining
at least of the following: □ (1) Number of employees; □ (2) The qualifications to prove that personnel is knowledgeable, competent and experienced suitable for the assigned task and such personnel