, and specifying the fair value of SP shares without referring to the prices specified by the Association of Investment Management Companies. His demeanors above were liable to be prohibited

compliance or exploit investors ? and integrity of directors and executives who must not have any prohibited characteristics.? The proposed rules also specify the qualifications of ICO portals whose roles are

benefits for himself and the others and exploiting client assets, is deemed failure to perform duties or provide services with loyalty, which are considered prohibited characteristics of capital market

. TorLorThor. 3/2555 and were the 3rd category prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor

consultants to make trading decision on their behalf and always submit trading orders via recordable channels.  *Clauses 20(2) and (3) of the Notification No. TorLorThor. 3/2555 which were prohibited

prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of

perform duties or provide services with loyalty by committing wrongdoing against investor assets. Both cases constitute prohibited characteristics for personnel in the capital market business under the

shareholders after the IPO such as the number of shares and proportion of the shareholding after IPO, including the number of shares that are prohibited from selling under the locked-up requirements; and 2) the

The SEC has amended the regulations related to NVDR services whereby securities companies are prohibited from offering services that will increase the number of NVDR held by Thai investors

the SEC). These individuals were also prohibited from trading securities and derivatives for 14 or 20 months (as the case may be) and from serving as directors or executives for 28 or 40 months (as the