has not been surpassed, provided that the prohibited characteristics involved with any of the following cases: (a) Performing duty dishonestly or dishonest, deceitful, or fraudulent act relating to
characteristics as follows: (1) having deficiency in legal competence or having been subject to any legal proceeding under the law governing capital market or having untrustworthy characteristics as specified by
indicating cheat or dishonest, irresponsibility, reckless in respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its
business, both of which concern unfair securities trading practices or cheating, fraudulent or dishonest business operation or money laundering control and suppression, regardless of whether it is Thai or
securities issuing companies. 4. The controlling persons shall not have any of the untrustworthy characteristics. 5. No record of breaches of regulations and laws (i.e. being currently subject to a criminal
executives shall be listed on the database of directors and executives of the securities issuing companies. 4. The controlling persons shall not have any of the untrustworthy characteristics. 5. No record of
on derivatives as specified by the list attached to the Notification of the Securities and Exchange Commission No. KorChor. 8/2553 Re: Determination of Untrustworthy Characteristics of Company
of which concern unfair securities trading practices or cheating, fraudulent or dishonest business operation or money laundering control and suppression, regardless of whether it is Thai or foreign law