Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Personnel in Capital Market Industry ------------------------------ By virtue of the following Sections: (1) Section 16/6 and Section
possessing the prohibited characteristics as specified in Chapter 3; (c) having obtained an approval from the SEC Office prior to performing function, except for any of the following cases: 1. the intermediary
shall be paid within ten days as from the date the SEC Office notifies the result of preliminary consideration that applicant possesses qualification and does not possess prohibited characteristics: (1
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under Chapter 1 and prohibited characteristics under Chapter 3; (b) stipulating or adopting standards and ethics regarding appraisal profession which are reliable and having mechanism to improve such
financial institution business.1 Clause 2 In case a director or an executive of a trustee or an applicant for performing trust business is prohibited from holding a position of the director or the executive
shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may be, as prescribed in this Notification: (1) managing, determining
, managers and partners of such juristic person shall not have such prohibited characteristics. 1 Repealed.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