failure to perform her duties or provide services with honesty and good faith, which is deemed a prohibited characteristic for capital market business personnel under the Notification of the Capital
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
prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the
business for a period of 10 years, effective from 6 May 2020. _______________________________ Note: * Pursuant to Clause 23(1) and the prohibited characteristics of personnel in the
. ________________* Clause 23(1) and prohibited characteristics of personnel in capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules
Clause 23(2) and having prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re
. _______________________* 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 Lor Thor. 8
capital market business for a period of 10 years, effective from 6 May 2020._______________________________ Note: * Pursuant to Clause 23(1) and the prohibited characteristics of