retrospective behavior for no more than 10 years: (a) breaching the duty of director or executive in performing with responsibility, due care and loyalty including breaching or failing to comply with [relevant
relating to disciplinary punishment for members’ demeanor to the SEC Office without delay; (b) disclosing information relating to [i] violations or offences in connection with asset appraisal or failing to
. Tor Lor Thor. 70/2561 Re: Rules on Personnel in the Capital Market Business (No.10) dated 24 October 2018 (effective on 1 January 2019). 13 (1) failing to have the qualifications or possessing the
, under the approval of the Financial Institutions Policy Committee, to propose a resolution plan for failing financial institutions which could adversely affect the country’s overall economic and financial
days as from the date when the intermediary becomes aware or should be aware of such fact: (1) failing to have the qualifications or possessing the prohibited characteristics under Section 103 of the
aware or should be aware of such fact: (1) failing to have the qualifications or possessing the prohibited characteristics under Section 103 of the Securities and Exchange Act B.E. 2535 (1992) or Section
follows; 1. the resignation of the trust manager; 2. the removal of the trust manager upon failing to manage the trust as required by the trust instrument or the notifications prescribing its