responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
Market Business Personnel dated 3 June 2014, and the prohibited characteristics of the capital market business personnel in Group 3 under Clause 31(1) of the said Act.Since the approval period for
repeal of the trading lock-up rules whereby an offer for sale of shares that have been sold at a lower price than the SPO price are prohibited. This is to enhance the SPO process and allow an appropriate
to disclose this information to warn investors before they make investment decisions. For example, leasehold property funds (Type1), which are prohibited from investing in new assets, must give clear
, effective from 9 November 2018; (3) In the case of {C}, she is prohibited from functioning as a branch manager responsible for capital market business, and the SEC also imposed a suspension
their clients from their own assets. Additionally, investment token issuers would be prohibited from seeking benefits from their clients’ DA under custody. The consultation paper is available at https
against them with the DSI for further legal proceedings.During the legal proceedings, {A} and {B} are deemed as having prohibited characteristics of capital market personnel and untrustworthy
Clause 23(2) and having prohibited characteristics of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel
positions as specified by Section 89/4 and 89/6 of the SEA. In addition, he or she is deemed possessing prohibited characteristics of personnel in securities and derivatives businesses
years from June 16, 2011, providing that he must not have any prohibited characteristics when applying for the SEC?s approval.