judgment regardless of whether the sentence has been suspended and have been discharged for a period of less than three years after being sentenced in the offences under law on securities and exchange or law
) clients’ relationships of trust An intermediary shall take reasonable care to ensure the suitability of its advice and discretionary decisions for any client who is entitled to rely upon its judgment of
professional judgment · Understanding of the firm’s quality control policies and procedures 9 Does the firm set up audit team by industries of clients? 76
or person who may have conflicts of interest that may impede the exercise of independent judgment, and any relationship that causes the inability to freely give comments on the operation of the
person; (5) not being accused or proceeded in the criminal case by the authorized agency under its law, or has a final judgment of offences in operating derivatives business without license or registration
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
result of such accusation or [ii] having been imprisoned by the final judgment of a court regardless of whether the infliction of pubishment has been suspended, and having been acquitted of the
or [ii] imprisoned by the final judgment of a court regarding the following offences regardless of whether the infliction of punishment has been suspended, and having been acquitted of the imprisonment
undertaking of business as securities broker, securities underwriting, prevention of using inside information, takeover, issuance and offer for sale of securities; (b) Standards of conduct, ethics and various
://www.sec.or.th/corpfin/form/takeover/2477.doc จำนวนหุ้นรองรับ = จำนวนหน่วยคูณด้วยจำนวนหุ้นที่จะได้จากการใช้สิทธิซื้อหรือแปลงสภาพต่อหนึ่งหน่วยของหลักทรัพย์ในรุ่นนั้น จำนวนหุ้นที่จำหน่ายได้แล้วทั้งหมดของกิจการ