of securities business, derivatives business or trustee business liable to be considered as deception or defrauding the public. Section 289 in conjunction with Section 90 Section 125 in conjunction
separate from the employees that participate in taking credit rating actions or developing or modifying credit rating methodologies that apply to such rated entity or obligor. C. CRA Employee Independence
action against or being punished in the past according to the management in the manner of deception, defraud or dishonest to properties as prescribed in Clause 25; (3) prohibited characteristic of Group 3
the obligor (e.g., government regulators) regarding supervisory matters should be separate from the employees that participate in taking credit rating actions or developing or modifying credit rating
) having been adjudged by the final judgment for an offence relating to unfair practice concerning securities or derivatives trading or administration amounting to deception, defraudation or corruption, or
well as any other documents in relation to Komchadluek Business and Trademark Acquisition, including but not limited to the Business and Trademark Purchase Agreement; (c) Executing, amending, modifying
Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...
Microsoft Word - OrKhorNor5-2549F.doc (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating...