Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No
the director and executive of issuing and listed companies1 and is therefore banned from holding such positions. ____________________ 1 Clause 3(1) in conjunction with Clause 4(3) and (6) of the
extensive audit experience, holding a CPA license, not possessing prohibited characteristics and rohibited behaviors, b) inspecting audit works performed by the applicant
individual qualifications of the applicant i.e. having extensive audit experience, holding a CPA license, not possessing prohibited characteristics and rohibited behaviors
shall be paid within ten days as from the date the SEC Office notifies the result of preliminary consideration that applicant possesses qualification and does not possess prohibited characteristics: (1
Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies. 23/05/2002 16/06/2002 Contact The Securities and Exchange Commission, Thailand 333/3 Vibhavadi
, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain qualifications, has a prohibited characteristic, performs duties defectively, or fails to
of auditors by prescribing additional qualifications and prohibited characteristics of auditors, as well as prescribing that the auditor to be approved by the SEC must be attached to audit firms having
Notification of the Office of the Securities and Exchange Commission No. SorKhor. 22/2553 Re: Prohibited Characteristics of Directors, Executives and Major Shareholders of Trustees The Notification of the
prohibited characteristic of capital market personnel pursuant to Clause 31(1) of the said Notification.