insurance company in charge. SEC has considered that Sarunya, whose license as life insurance broker and agent had been revoked by OIC for performing duties dishonestly, was deemed to have a prohibited
(2018). Under the proposal, the qualifications or prohibited characteristics of digital asset business license applicants, their directors and major shareholders under Clause 3* (10), (11), and (12) (b
pay interest, constituting an offense. The Investment Committee is considered to have the prohibited characteristics to act as personnel in the capital market business.** The SEC has suspended Mr
Prohibited Characteristics of Directors, Executives and Major Shareholders of Trustees
Determining Proportion of Directors of Derivatives Exchange and Prohibited Characteristics of Directors of Derivatives Exchange and Derivatives Clearing House
Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies.
reference. Notification of the Securities and Exchange Commission No. Kor Yor. 51/2547 Re: Determining Proportion of Directors of Derivatives Exchange and Prohibited Characteristics of Directors of
credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such
approval for him as capital market business personnel for four years, starting from 29 January 2021. As a result, he is also banned from holding the positions of director and executive of capital market