has not been surpassed, provided that the prohibited characteristics involved with any of the following cases: (a) Performing duty dishonestly or dishonest, deceitful, or fraudulent act relating to
characteristics as follows: (1) having deficiency in legal competence or having been subject to any legal proceeding under the law governing capital market or having untrustworthy characteristics as specified by
or dishonest business practice, or the law on anti-money laundering, regardless of whether such laws are domestic legislations or foreign legislations. It also shall have no record indicating frauds
Exchange Commission No. KorChor. 3/2560 Re: Determination of Untrustworthy Characteristics of Company Directors and Executives dated 23rd January B.E. 2560 (2017). In this regard, I also attach my Passport
irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for operating fund supervisor business, at least
. KorChor. 3/2560 Re: Determination of Untrustworthy Characteristics of Company Directors and Executives dated 23rd January B.E. 2560 (2017) to the SEC Office, for the purpose of listing my name onto the
have any of the untrustworthy characteristics under the Notification of the Securities and Exchange Commission concerning the Determination of Untrustworthy Characteristics of Directors and Executives of
, fraudulent or dishonest acts that results in widespread damage, either in accordance with Thai or foreign laws; (3) being currently subject to a criminal complaint or legal prosecution by a relevant agency in
Thailand branch shall be taken into consideration under Paragraph 1. (4) the controlling persons of the applicant shall not have any of the untrustworthy characteristics under the Notification of the