internet banking system to transfer 2,000 baht from a client's account into his own without the client's authorization. {D}'s actions were deemed to be prohibited characteristics of investor contacts in

controlling persons. The initiative aims to ensure that such persons possess the required qualifications without any prohibited characteristics, thereby enabling business operators to maintain credible and

, since the suspension as investment consultant is a prohibited characteristic of capital market personnel in Group 2 under Clause 30(4)(a) of the Notification of the Capital Market Supervisory Board No

does not possess prohibited characteristics pursuant to the law governing securities and exchange and notifications issued by virtue of the said law. The letter of certification shall be signed by the

business licensees would be prohibited from providing services related to privacy coins to prevent misuse of digital assets as a tool for committing a crime. After conducting a public hearing on the matter

any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly without professional due care is in violation of Clause 23(2) and he is deemed to have the prohibited

securities outside the stock exchange if abiding by the regulations, conditions and procedures set by the SEC Office. Earlier, the law prohibited such companies to trade securities outside the stock

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