involvement in a significant legal violation in any matter under the eight principles. If the case is being considered in court and the Company or the subsidiaries becomes a party or disputant, disclosure of

Office uses to increase or decrease the weight in considering the facts in general: (a) the involvement of a person in the prohibited characteristics such as being a principal, an user or a supporter, etc

the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associated companies being operated or to be operated, as the case may be. In this

judgment regardless of whether the sentence has been suspended and have been discharged for a period of less than three years after being sentenced in the offences under law on securities and exchange or law

) The Company and the subsidiaries were inspected or are being inspected by an authority regarding the possibility of their operation’s involvement in a significant legal violation in any matter under the

the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an

of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3

investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities : One or a combination of the following activities: (1) Attending training courses or

gold derivatives brokerage business upon meeting the following requirements: (1) Having paid-up registered capital of no less than one hundred million (100,000,000) baht; (2) There being no event which

being fund supervisor are partners; (2) Limited partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to