financial statements of Renaissance FMC, which constitutes a prohibited characteristic for an auditor in the capital market*. Accordingly, the SEC resolved to revoke Ms. Sulalit’s approval as a capital
. Such acts were done by falsifying documents relating to the trading of investment units of funds and documents relating to cash withdrawals, with the intention of deceiving clients that the investment
misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of
to support the Company’s core business operation with general trade terms and conditions. Connected persons/ juristic persons Characteristic of connected transaction Transaction amount (Thousand Baht
Operator to Perform Duties of Analyzing Investment and Giving Investment Advice dated 18 January 2012, which is deemed a prohibited characteristic of capital market business personnel under Clause 6(1) of
. The word “option contract” means the contract with the characteristic as specified in (3) of the definition of “derivatives contract” under Section 3 of the Derivatives Act B.E. 2546 (2003). Clause 12
derivatives broker who enters into an option contract as an option holder. The word “option contract” means the contract with the characteristic as specified in (3) of the definition of “derivatives contract
characteristic as specified in (3) of the definition of “derivatives contract” under Section 3 of the Derivatives Act B.E. 2546 (2003). Clause 12. In case it appears to the Office that the investment in securities
guidelines specified by the intermediary in compliance with the aforesaid rules. In this regard, such measures shall at least ensure that the service provider shall not have any characteristic which may cause