the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an
be an executive of a licensed securities and derivatives business, fill in every part; Part 1 6.1 Being or having been a bankrupt: O yes O no 6.2 Having been imprisoned by a final judgement of the
seeking an approval to act as a mutual fund manager shall not possess any of the following prohibited characteristics: (1) Being a bankrupt; (2) Having been imprisoned by a final court judgment for an
concerning the Determination regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor ; “ client ” means user of an intermediary ’s services; “ Stock Exchange ” means
concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ client ” means user of an intermediary ’s services. “ Stock Exchange ” means the Stock Exchange of
following prohibited characteristics: (1) being an incompetent or quasi-incompetent person; (2) being or having been a bankrupt; (3) having been imprisoned by the judgment of a court which is final
derivatives clearing house. “securities” means securities under the Securities and Exchange Act. “Stock Exchange” means the Stock Exchange of Thailand under the Securities and Exchange Act. “securities trading
undertaking of any business or bankrupt, a receiver, a liquidator or any other person empowered by law to act in the similar capacity as the aforementioned persons, as the case may be, shall undertake necessary
invested or held equity instruments issued by PTT Public Company Limited : (1) mutual fund excluding ETF; (2) provident fund. Clause 2. In case where the Stock Exchange of Thailand issues a temporary trading
number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock