respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its operational system will be prompt for operating securities business in
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
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
has caused the aforesaid persons to be liable to have untrustworthy characteristics as director or executive, and prohibited characteristics of director or executive of listed company on the Stock
they are neither inconsistent with nor contrary to the provisions of this Notification until notifications, orders and circulars issued under or prescribing guidelines in compliance with this
they are neither inconsistent with nor contrary to the provisions of this Notification until notifications, orders and circulars issued under or prescribing guidelines in compliance with this
they are neither inconsistent with nor contrary to the provisions of this Notification until notifications, orders and circulars issued under or prescribing guidelines in compliance with this
of Directors has carried out according to the authority assigned by the Annual General Meeting of Shareholders No. 1/2561, which is not contrary to or inconsistent with the law. The rules and
such Law; (2) provision that in the case where any requirement in the mutual fund scheme or the commitment is in conflict or inconsistent with the rules issued by virtue of the Securities and Exchange
of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power to order: (1) Clarification or disclosure of additional information; (2) Rec tification of the