, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of prohibited characteristics in Group 3 under Chapter 7. Clause 25 In case personnel in the capital
] when the SEC Office accuses such person to the inquiry official or issues a letter notifying the possession of characteristic of lacking trustworthiness, as the case maybe, until such person no longer
witness or expert witness; (4) requesting any person to submit relevant documents in such person’s possession; (5) conducting an on-site inspection. The alleged person shall cooperate with the authority in
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or
received from the sale of units to the trustee in order to manage the property for the benefit of the unitholders with trustworthiness; (b) the REIT is not a juristic person, but is a pool of assets legally
: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities
allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept
the correctness, completeness and trustworthiness of the financial reports of the company. Opinions concerning the adequacy of the company’s internal control system. Opinions concerning the
Possession of Prohibited Characteristics _______________ (Translation) -3- Part 1 Prohibited Characteristics _______________ Clause 3 Personnel in capital market industry shall not possess any prohibited