Bond Dealer and Underwriter Others (Securities Business) Derivatives Agents Derivatives Dealer Stock Exchange/Futures Exchange TSFC/IDB Approval and Qualifications Approval and Standards Practice Code of
Information on the Board of Directors Describe the composition and basic information of the Board of Directors that reflect the qualifications, capabilities, independence and diversity of expertise, sex and age
to the applicant’s business operations. After being appointed as an independent director with the qualifications in conformity to sub clause (1) to (9) of Paragraph 1, the independent director may be
an auditor approved by the SEC Office; (2) the auditor no longer has any qualifications under Clause 10(1) or (2); (3) the auditor possesses any prohibited characteristics under Clause 15(1), (2)(a) or
ผู้รับผิดชอบในการด าเนินการ (ช) หนังสือรับรองความถูกต้องของข้อมูล เพื่อยืนยันว่าโครงการจัดการลงทุน ต่างประเทศมีคุณสมบัติครบถ้วนตาม Part I : Qualifications of the CIS Operator, Trustee/ Fund Supervisor, and
_____________________________________________________________________ 7. I/We affirm that at all times I/we have officers with the relevant qualifications specified in section 6 of the Passport Rules (Annex 3) of the MOC, and meet the financial resources test and the
interests of investors; (2) the branch office has serious fault in its operating system; (3) the management company is unable to maintain the qualifications or it has a statutory disqualification as