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
meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company. (2) “Fund Manager
” shall have the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company
activities irrespective of Thai or foreign law, and shall also meet the following requirements: (1)2 not having characteristics under clause 15/1 ,except in the case where the applicant is a listed company
an approval from the Office. Clause 6. The derivatives broker with the following qualifications are allowed to trade derivatives contract according to Clause 5: (1) having sufficient personnel