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

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

in Group 1: (1) being under receivership by court order or being a bankrupt; (2) being an incompetent or quasi-incompetent person; (3) [i] being accused by the SEC Office or being prosecuted as a

by court order or being a bankrupt; (2) being an incompetent or quasi-incompetent person; (3) those persons whom [i] being accused by the SEC Office or being prosecuted as a result of such accusation

appropriately protected, the intermediary shall identify organizational IT assets and define proper protection roles and responsibilities. Provisions in the Notification No. Sor Thor. 37/2559 Clause 15 An

been kept in custody of a securities company shall not be protected under the measures of protection of the Financial Institutions Development Fund; (3) provide a contract or an agreement on the custody

จัดการกองทุนรวมมีประกัน (guaranteed fund) กองทุนรวมคุ้มครอง เงินต้น (capital protected fund) กองทุนรวมที่มีการกระจายการลงทุนน้อยกว่าเกณฑ์มาตรฐาน (specific fund) กองทุนรวมดัชนี (index fund) และกองทุนรวมอีที

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