. Kor Jor. 3/2560 Re: Determination of Untrustworthy Characteristics of Company Directors and Executives dated 23 January 2017.

) Philippines, and starts with providing analysis and advice on securities not having complex characteristics, such as stock, bonds, mutual fund, collective investment schemes (CIS) and real estate investment

; (5) directors, management executives and major shareholders with no prohibited characteristics approved by SEC; (6) no conflicts of interest between other operations and digital asset business with

order, the two offenders have become persons possessing untrustworthy characteristics and subsequently banned from the position of director or executive at any securities issuing company or listed company

has become effective since 1 October 2022. This is to enhance investors’ knowledge and understanding of the characteristics and risks of the products, and build the ability to accept risks and access a

characteristics of directors and executives of securities issuers and listed companies while he is subject to the complaint and subsequent legal action.In any case, filing a criminal complaint commences the

prevent holding company from having characteristics similar to investment company, the SEC specifies that the size of core business and other businesses that holding company holds shares, when compared with

. Selling agent must comply with specified criteria, for example, selling agent must examine investor?s characteristics before offering for sale of the product to ensure that the offer has been made to

. -------------------------------- Note: * {A} violated Clause 23(2), and {B} Clause 23(1), both being the prohibited characteristics of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory

and Exchange Commission No. Kor Jor. 3/2560 Re: Determination of Untrustworthy Characteristics of Company Directors and Executives dated 23 January 2017.