worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
Determination of Untrustworthy Characteristics of Company Directors and Executives
the untrustworthy characteristics. 4. In case of foreign companies, 4.1 Offering of the bonds is legally made under the foreign laws and regulations. 4.2 Representative is appointed in Thailand
directors and executives shall be listed on the database of directors and executives of the securities issuing companies. 4. The controlling persons shall not have any of the untrustworthy characteristics. 5
the untrustworthy characteristics. 5. The trust manager has no record of breaches of regulations and laws (i.e. being currently subject to a criminal complaint or legal prosecution for an offense
securities issuing companies. 4. The controlling persons shall not have any of the untrustworthy characteristics. 5. No record of breaches of regulations and laws (i.e. being currently subject to a criminal
non-prosecutorial order or the court has passed the final judgment to dismiss the case, it shall not be deemed as having untrustworthy characteristics); (b) It has not yet surpassed the three-year
can demonstrate that it can perform such duties; The structure of board of directors have sufficient checks and balances; Directors/ executives/ controlling persons must not have untrustworthy