for foreign investors or the exempted person under Section 103(7) or (8)(b) or (c) of the Securities and Exchange Act B.E. 2535 (1992). Clause 4. An executive of any securities company shall not possess
securities company shall not possess any prohibited characteristics as specified in the Notification of the Securities and Exchange Commission on prohibited characteristics of securities business personnel
securities company shall not possess any prohibited characteristics as specified in the Notification of the Securities and Exchange Commission on prohibited characteristics of securities business personnel
Possession of Prohibited Characteristics _______________ (Translation) -3- Part 1 Prohibited Characteristics _______________ Clause 3 Personnel in capital market industry shall not possess any prohibited
line with the target of the Company. Currently, the Company possess non-performing debt more than 146,000 million Baht which represent the Company to be one of the leading debt management of Thailand
over five years per period 2.1.2 Qualification of Approved Auditor An auditor to be granted approval by the SEC shall possess qualifications of an individual person and of the firm to
prepare and submit the report on its financial condition and operating results, that the company’s directors or executives possess the first or the second category of the untrustworthy characteristics as
the Capital Market Business Clause 4 Personnel in the capital market business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited
performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may be, as
comply with the provisions prescribed herein or the rules prescribed by the SEC Office by virtue of this Notification, or the service provider fails to maintain the qualifications or possess prohibited