._______________________________ * Pursuant to Clause 23(1) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor
person or group of persons holds investment units in the amount exceeding the said limit, asset management company will be prohibited from distributing dividend and counting vote in the excess portion. The
accordance with the specified qualifications and prohibited characteristics. In addition, the revised rules require directors and managers of securities and derivatives business operators to pass training
trust (REIT) or infrastructure fund (IFF) exceeding the specified proportion. As a result, FA will be prohibited from providing service in connection with securities offering or REIT or IFF establishment
trading orders were submitted via LINE.Failure to keep complete record of the securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of
management company is subject to disclose and update information and correct the proportion in a certain period. It is prohibited from distributing dividends and counting votes in the excess portion.The draft
credibility of business operators and the Thai capital market. The proposed revision will extend the scope of capital market personnel who are subject to the prohibited characteristics to those with duties that
Bangkok, February 15, 2012 ? The SEC has revoked approval for Maris Tarab and Burim Chombhubol as fund manager and prohibited them from re-entering the industry for 10 years, starting from February
in violation of the rule whereby securities selling or allocation to directors, executives and related parties of the responsible underwriter is prohibited to prevent such persons from taking unfair