prohibited characteristics pursuant to Section 24 and the notification of the Securities and Exchange Commission or the notification of the Capital Market Supervisory Board concerning qualifications and
prohibited characteristics pursuant to Section 24 and the notification of the Securities and Exchange Commission or the notification of the Capital Market Supervisory Board concerning qualifications and
requirements and does not have any prohibited characteristics pursuant to Section 24 and the notification of the Securities and Exchange Commission or the notification of the Capital Market Supervisory Board
obtaining approval from the SEC Office under Clause 11; (6) not appearing that the applicant possesses prohibited characteristics under Chapter 3; (7) not appearing that its directors, manager and person
shareholder or controlling person, unless the foregoing status has ended for at least two years prior to the date of filing the application with the SEC Office. In this regard, such prohibited characteristics
one fourth of directors to be independent director. In this regard, the independent director shall have qualification and shall not possess prohibited characteristics as specified by the Notification of
practice. Clause 2 An intermediary shall provide one fourth of directors to be independent director. In this regard, the independent director shall have qualification and shall not possess prohibited
directors to be independent director. In this regard, the independent director shall have qualification and shall not possess prohibited characteristics as specified by the Notification of the Capital Market
TorThor/Nor/Khor 37/2553 Prohibited Characteristics of Personnel in Capital Market Industry 15/09/2010 01/10/2010 8. Notification of Capital Market Supervisory Board TorThor/Nor/Khor 87/2552
17/01/2005 01/03/2005 2. Notification of the Securities and Exchange Commission KorThor/Nor/Khor 4/2548 Qualifications and Other Prohibited Characteristics of Executives of Securities Companies