by the rated entity or obligor; c. Holds or transacts in a trading instrument issued by an affiliate of the rated entity or obligor, the ownership of which may cause or may be perceived as causing a
) the offer for sale of the structure notes may cause damage or unfairness to investors in general, or the investors may not have received correct or sufficient information to support their investment
for approval with the SEC Office unless the cause for such suspension imposed by the Ethical Standards Committee was the same as the cause for suspension or revocation of the approval 2 Amended by the
securities may affect the overall credibility of the Thai capital market; (4) the offer for sale of securities may cause damage or fail to provide overall investors with fairness or accurate or sufficient
shares as mentioned above shall not cause any shareholder of the Company to violate the foreign shareholding restriction as stipulated in the Articles of Association of the Company, of which presently
restrictions or duties; (5) avoids any action which may cause conflicts of interest or cause business operation out of reaching professional standards unless it is the action performed under the rules and
SEC; (2) not having a reasonable ground to believe that the applicant has financial condition that is likely to cause damage or any other circumstances indicating the applicant’s financial hardship. In