independence to effectively perform the duties. The criteria for consideration of independence include the followings: FAs' holding shares of an issuer who is a listed company must be less than or equal to 5
definition of “executive" means director, manager, or the first four executives succeeding the manager and every person holding the position equivalent to the fourth rank including person holding executive
manager and every person holding the position equivalent to the fourth rank including person holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager
sanctions, namely: (1) a civil penalty; (2) a compensation at an equal amount to the benefit received or should have been received from committing an offence; (3) a suspension of securities or derivatives
financial institution established under other laws; (2) have another securities company held its shares in the amount equal to or exceeding ninety-nine percent of the total paid-up registered capital on the
shares in the amount equal to or exceeding ninety-nine percent of the total paid-up registered capital on the date on which the Securities and Exchange Act B.E. 2535 comes into force ; (3) hold shares of
audit firm or equivalent or being a partner of an audit firm or equivalent; (3) having met either of the following audit experiences criteria; (3a) General cases: - having affixed signatures for giving
of 2018: (1) a compensation at an equal amount to the benefit received or should have been received from committing an offence; (2) a suspension of securities or derivatives trading for up to five
the applicant possesses prohibited characteristics as prescribed; Not appearing that its directors, manager and person holding executive position as a division manager or an equal position responsible