period of time or conditions for considering such person’s application for an approval to act as a mutual fund manager of the management company, taking into account the severity of behaviors of such

In deliberating the severity of demeanor which is deemed to be the possession of prohibited characteristics in Group 3 under Clause 31, or in deliberating an action under Clause 35, the SEC Office

. Division 3 Consideration of Prohibited Characteristics in Group 3 _______________________ Clause 36 In deliberating the severity of demeanor which is deemed to be the possession of prohibited characteristics

mitigate the severity resulting from natural disaster; (k) waste management system; (l) a business in the nature of multi-infrastructure business under (a) to (k), having all of the following characteristics

and Exchange Commission No. Sor Thor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the

intermediary shall have measures for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9 In case the association

for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9 In case the association determines the guideline

appropriate taking into account the seriousness of the breach. Chapter 2 Availability of competent personnel Objective The management company shall demonstrate that it has adequate amount of personnel for the