director or executive’s full name ] Part 2: Characteristics Indicating Untrustworthiness 1st Group Characteristics (1) I am an insolvent person. [ ] Yes [ ] No (2) I am an incompetent or a quasi-incompetent

; (6) Being an incompetent or quasi-incompetent person; (7) Being a person whose name appears on the list of persons considered by the Stock Exchange of Thailand to be unsuitable to act as an executive

3 6.11 Being a person whose property is executed under the court’s order, an incompetent person or a quasi incompetent person: O yes O no 6.12 Being a person whose name is under the list of persons

in Group 1: (1) being under receivership by court order or being a bankrupt; (2) being an incompetent or quasi-incompetent person; (3) [i] being accused by the SEC Office or being prosecuted as a

by court order or being a bankrupt; (2) being an incompetent or quasi-incompetent person; (3) those persons whom [i] being accused by the SEC Office or being prosecuted as a result of such accusation

supervisory rules in effect at the time or to ensure the interest of investor protection, if any of the following facts becomes apparent, the SEC Office shall have the power to order the mutual fund management

person’s names, or avoids using his own name to open an account or process the transaction; (2) the client insists to open several accounts of the same type for no apparent reason, which might indicate an