derivatives position before the settlement date, whether due to market lack of liquidity or the derivatives exchange withholds the futures trading or due to any other reasons, the investor may lose from the
directors and persons with power of management , without conflict of interest which may cause the lack of independency in proceeding mutual fund rating, and is capable of operating the work impartially and
underwriting without limitation to only debt securities, excluding company licensed to also undertake finance business. “Finance and securities company” means a company licensed to undertake finance business
quasi-incompetent person; (3)( having disreputable background or managing any business in a manner indicating a lack of professional accountability or due care as specified in the notification of the
internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
the term of office, the position of the Secretary-General shall be vacated upon: (1) death; (2) resignation; (3) [Section 22(3) was repealed by the Securities and Exchange Act (No.6) B.E. 2562] (4) lack
that may cause a lack of independence in acting as the fund supervisor. Clause 4. Prior to the effective date of this Notification, any persons who act as a fund supervisor shall continue its operation
at least. [M] · Providing consistently an inspection of operational recording of user . [A] · Providing a preventing measure for alteration of other record and limitation of right for only concerned
the lack of responsibilities for providing services as securities registrar, the Securities and Exchange Commission may revoke the license of securities registrar, in which case the Office shall notify
) Performing work in a manner that indicates a lack of professional ethics or standards as stipulated by an association under the Office’s approval; (18) Performing the management duty in a manner that indicates