operator shall be terminated upon any of the following causes: (1) in case the approval of the SEC Office has specified therein an effective period, such approval shall be terminated after the lapse of such
approval for acting as a mutual fund manager or a private fund manager revoked; (12) Having been dismissed, discharged or terminated from employment as a result of any dishonest act; (13) Being or having
where any independent director of a securities company passes away or resigns or his/her approval is revoked by the Office, the securities company shall appoint a new independent director within 90 days
issuing company or securities company, or his obtaining approval has been suspended or revoked by the SEC Office, or he possesses a characteristic which causes the approval terminated, or he has been being
deemed terminated. Yours sincerely, Signature ........................................................... (..........................................................) Certified public accountant No
of the Securities and Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market; in addition to not corporate with the SEC; this approval may be terminated. yours sincerely
from 1 September to 15 December of the year when the approval comes to an end. Division 3 Termination of Approval Clause 18 The approval of personnel in the capital market business shall be terminated
relationship with the client is terminated. In this regard, the SEC Office views that the Notification No. SorThor/Nor/Yor/Khor. 3/2550 contains details that overlap with the rules issued by the AMLO and thus
Infrastructure Asset in Part 4. In the case where the approval for the establishment of a fund is terminated under the rules in Division 3 of Chapter 2, the management company shall proceed in accordance with such
offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an