prohibited characteristics under Clause 4(9), (10), (11), (12), (13), (14), (15), (16), (17) or (18), which were previously considered as grounds for disapproval of such person to act as a mutual fund manager
following suspicious grounds, the SEC Office may not grant approval for the offer for sale of the debt securities: (1) the applicant or the offer for sale of the debt securities has the characteristics or
of Securities Issuers. 4 Chapter 2 Power of the SEC Office _____________________ Clause 9 In the case where it appears to the SEC Office a fact causing any of the following suspicious grounds, the SEC
provider’s unit and its personnel; (d) contingency management system which specifies procedures and a person in charge in each case clearly. (2) there is no reasonable grounds to believe that the financial
service provider’s unit and its personnel; (d) contingency management system which specifies procedures and a person in charge in each case clearly. (2) there is no reasonable grounds to believe that the
the SEC Office a fact causing any of the following suspicious grounds, the SEC Office may not grant approval for the offer for sale of the debt securities: (1) the Thai government agencies filing the
is rescinded and the approved person shall cancel the offer in its entirety. Clause 19 2 The approved person shall clearly state the information relating to the grounds for cancellation of the offer
revocation of approval. Clause 27/11 In cases where a fact appears in relation to the grounds under Paragraph 1 of Clause 27, the SEC Office may not refer such grounds as the causes for suspending or revoking