securities issuers / listed companies from possessing characteristics of an investment company in investments without active involvement in management. This includes investments in securities, derivatives or
) Define a company possessing the characteristics of investment company as a company that makes passive investment in securities, derivatives or digital assets , at a collective total amount exceeding 40
companies from possessing characteristics of an investment company in investments without active involvement in management. This includes investments in securities, derivatives or digital assets at a
/Pages/News_Detail.aspx?SECID=7381 SEC and SET run a joint public hearing on the proposed prohibition of investment company characteristics in issuing and listed companies ) Define a company possessing
market business personnel for 10 years, starting from 10 February 2018. ___________________ *Violation of Clause 23(1) and possessing the prohibited characteristics of capital market business personnel
professional principle. “appraisal company in capital market” means a juristic person having normal business purpose to value any asset and wish to contribute appraisal services for capital market transaction
submission of the application. (b) Possessing qualifications and work experiences as follows: 1. Having passed the level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and
standards within two years prior to the date of submission of the application. (b) Possessing qualifications and work experiences as follows: 1. Having passed the level 1 examination of Chartered Financial
firm or equivalent; (3) being attached to only one audit firm and such audit firm shall have the characteristics as prescribed by Clause 11; (4) not possessing any prohibited characteristics as