, Executives, Auditors, Plan Preparers and Plan Administrators (Form 59) Information, Certification and Consent of the Company's Director and Executive (Form 35-E1) Letter of Consent to Disclose Information
%.; FAs shall not hold shares of an issuer who is not a listed company, except for the case of over 2 years of holding the shares at less than or equal to 5%; An issuer/ major shareholders/director of the
of directors and executives of issuing companies. Qualifications of a director Not having untrustworthy characteristics. For example: Being an insolvent person or an incompetent person Being
) committing unfair securities trading practice; (2) presenting a false statement or concealing material facts that should have been stated; (3) failing to perform duties as director or executive under Section
) Director, executive or controlling person of securities issuing company (2) Employee or worker of a securities issuing company who holds a position, or is in the line of work, is responsible for or capable
Commission No. SorJor. 38/2561 Re; Preparation of Report on Changes to the Securities and Derivatives Holding of Director, Executive, Auditor, Plan Preparers and Plan Administrators, Chapter 2, Clause 7
fund manager with the following qualifications : (1) In the case of the selected fund manager being a director, executive or employee of another company, the mutual fund management company shall prove