/Documents/ActandRoyalEnactment/LawReform/RIA-DERI.pdf DRAFT director of the derivatives exchange shall be vacated from his office upon: (1) possession of any prohibited characteristics under Section 61; (2
in the manner that implies dishonesty, affecting the reliability of capital market business personnel in a significant manner, both of which are considered prohibited characteristics of the capital
, and specifying the fair value of SP shares without referring to the prices specified by the Association of Investment Management Companies. His demeanors above were liable to be prohibited
compliance or exploit investors ? and integrity of directors and executives who must not have any prohibited characteristics.? The proposed rules also specify the qualifications of ICO portals whose roles are
benefits for himself and the others and exploiting client assets, is deemed failure to perform duties or provide services with loyalty, which are considered prohibited characteristics of capital market
. TorLorThor. 3/2555 and were the 3rd category prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor
consultants to make trading decision on their behalf and always submit trading orders via recordable channels. *Clauses 20(2) and (3) of the Notification No. TorLorThor. 3/2555 which were prohibited
prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of
perform duties or provide services with loyalty by committing wrongdoing against investor assets. Both cases constitute prohibited characteristics for personnel in the capital market business under the
the requesting and using of investor’s account for personal trading, even with the investor’s consent. Such conduct is deemed a prohibited characteristic for capital market business personnel under the