law. Division 16 Prohibited Characteristics Clause 28 Personnel in the capital market business shall not possess the following prohibited characteristics: (1) having deficiency in legal competency

management company shall make payment out of the management company in the amount equivalent to the difference representing the deficiency, or reduce the number of such remaining investment units and make

registration statement with care and hereby certifies that the information is accurate, complete, not false or misleading, and does not lack material information that should be notified. In addition, the Company

characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...

list or having an appraisal permission from the regulator of the jurisdiction wherein the asset is located; (b) in the absence of a list pursuant to (a) (a), the asset appraiser shall have any of the

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

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

any ground to believe that there is a deficiency or inappropriateness in control and proper operation of the business; (5) procure necessary resources and a sufficient number of personnel with expertise

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