6(1) of the Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Capital Market Personnel dated 15 September 2010, which are in
. _____________________________Remarks: * Pursuant to Clause 23(1) and 23(2) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No
, managers and partners of such juristic person shall not have such prohibited characteristics. 1 Repealed. Clause 4/1 1 In the case where an applicant is a juristic person under Clause 3(1) who submitted an
required by the SEC. 2.1.3 Prohibited Characteristics of Auditors (1) being put under receivership by the court's order; or being an insolvent, incompetent or quasi- incompetent person; (2
the capital market business shall not possess the following prohibited characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of
possible conflicts of interest; (d) imposing code of conduct or measure to prevent operation constituting conflicts of interest, which includes the following issues: 1. prohibited action possibly
supervisor who shall be an approved person by the SEC; (7) Being a member of the Investment Banking club. Supervisors (1) Having qualifications and no prohibited characteristics as required
seeking an approval to act as a mutual fund manager shall not possess any of the following prohibited characteristics: (1) Being a bankrupt; (2) Having been imprisoned by a final court judgment for an