net profit, but is prohibited from paying dividend while having retained deficit. "Infrastructure generally requires huge investment proceeds. Private sector should therefore have access to
deemed as having untrustworthy characteristics of a publicly held company's director and executive while {B} and {C} are deemed as having prohibited characteristics of capital market personnel and
the SEC, in materiality. The said actions were also failure to perform the duties as professionals with prudence, due care, knowledge, capability and experience and considered as prohibited
also considered personnel in the capital market. As a result, his aforesaid misconduct has caused him to possess the prohibited characteristics of capital market personnel.* This deems him unfit to
in Sopana to have characteristics prohibited for capital market personnel, the SEC therefore revoked her status as an approved fund manager.Furthermore, the SEC instructed all asset management
decision without taking into account fundamental factors. In addition, lucky draw campaigns are prohibited to prevent the overinvestment or overuse of services. The revised rules will be applicable to all
23(2) and (3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8/2557 dated June 3, 2014 (Notification No. TorLorThor. 8/2557) which was prohibited characteristics of personnel
23(1) and (4) and prohibited characteristics of personnel in the capital market business under Clause 31(1) and (5) of No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the
securities firms themselves took part in share price manipulation. Strict enforcement on this case is imperative. Due to their misconducts, Porntep and Arada now have prohibited characteristics of capital
/2013 7. Notification of Capital Market Supervisory Board TorThor/Nor/Khor 37/2553 Prohibited Characteristics of Personnel in Capital Market Industry 15/09/2010 01/10/2010 8. Notification of Capital