discharged the executive or personnel responsible for the cause of prohibited characteristics of the applicant. 4.6 Having not deliberately concealed the financial status or the operating result during the
qualification under (3) or (5), the securities company may be granted an approval from the Office only when the securities company cause the relevant executive or personnel who rendered the company into such
under (3) or (5), the derivatives broker may be granted an approval from the Office only when the derivatives broker cause the relevant executive or personnel who rendered the company into such
Commission on prohibited characteristics of securities business personnel. Clause 5. When it appears that any executive of a securities company possesses any prohibited characteristic as specified in the
company cause the relevant executive or personnel who is responsible for such non-compliance to leave so as such person is no longer be related with the management company. Clause 6. The Office shall
concerning Guidelines for Application for Obtaining an Approval and Granting to Appoint a Personnel to be a Director or an Executive of the Derivatives Intermediary B.E. 2553 dated 1 February B.E. 2553. Clause
. 27 Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section
Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and
Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of
business as specified by the Notification of the Office. □ 4. Supporting documents for consideration under Clause 4 (4) : The information of personnel in the unit responsible for asset custodyshall comprise