the SEC in the amount of 1,052,733 baht each. Additionally, Satit is prohibited from trading securities or derivatives for 33.5 months, and from serving as director or executive of any securities
orders from such client. They just submitted trading orders as directed by {A}. Furthermore, they had never conducted KYC/CDD for the client because {A} prohibited them from doing so. Also, {B} received
.49/2552 and Clause 20(2) of the Notification No. TorLorThor. 3/2555 was the 3rd category of prohibited characteristics of the capital market business personnel under Clause 6(1) of the Notification of
Clause 14(2) of the Notification No. SorKhor.49/2552 and Clause 20(2) of the Notification No. TorLorThor. 3/2555 was the 3rd category of prohibited characteristics of the capital market business personnel
{B}'s action was also deemed as breach of duty by performing investment analyst or investment consultant duty without obtaining the SEC's approval. Their actions were classified as prohibited
significant adverse impact on the credibility required of capital market business personnel. Both types of conduct are deemed the prohibited characteristics of capital market business personnel under the
seeking an approval to act as a mutual fund manager shall not possess any of the following prohibited characteristics: (1) Being a bankrupt; (2) Having been imprisoned by a final court judgment for an
following prohibited characteristics: (1) Being a bankrupt; (2) Having been imprisoned by a final court judgment for an offense relating to property committed with dishonest intent; (3) Having been an
the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company. (2