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
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
approval is revoked or suspended for the remaining approval period by the SEC. 7. Prohibited characteristics (1) being put under receivership by the court's order; or being an insolvent
remaining approval period by the SEC. 7. Prohibited characteristics (1) being put under receivership by the court's order; or being an insolvent, incompetent or quasi- incompetent person, (2) being
) Related Forms Application Form for Approval (Form 19-1) Form for Certification of Personal Records and Non-Prohibited Characteristics (Supplement for Form 19-1) F orm for Summary of Digital Token Trading
resolution shall not have been passed more than one year. Public advertisement is prohibited. Promotion materials can only be distributed only in the PP cycle. Must not co-sign the filing to allow PP
establishment of mutual fund (1) Applying for normal approval The mutual fund management company shall submit an application for approval of the establishment of a mutual fund together with all required
in Thailand continuously for not less than 1 year; Having a manager and a person holding executive position responsible for the working field relating to asset appraisal who have knowledge and working