considering of the appointment of the company’s executive: (1) there are reasonable grounds to believe that he or she is or having been reasonably suspected of malfeasance in the operation or service of
prohibited characteristics under Clause 4(9), (10), (11), (12), (13), (14), (15), (16), (17) or (18), which were previously considered as grounds for disapproval of such person to act as a mutual fund manager
provider’s unit and its personnel; (d) contingency management system which specifies procedures and a person in charge in each case clearly. (2) there is no reasonable grounds to believe that the financial
governing the business operation of such person, and has no reasonable grounds to be believed that its financial condition has worsened significantly during the course of one year preceding the date when the
. Several claimants sharing a like claim against the respondent on the common grounds of laws and facts against the respondent may jointly file the dispute to the Office, provided that each claimant seeks
of time thereby the payment upon termination of employee’s membership or dissolution of the fund pursuant to Section 25 shall be prescribed, without unreasonable grounds for eliminating the employee’s
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
Board, shall appoint a committee to [i] consider facts and evidence as well as propose opinions to the SEC Office relating to the consideration of the grounds for removing a person from the position
relating to the consideration of the grounds for removing a person from the position, suspending or revoking approval of a person being personnel in the capital market business who possesses prohibited
shares without a clarification of the suspicious grounds under (b) or (c) to the SEC Office or with a clarification that does not contain facts or reasonable ground for refuting the suspicious grounds