6(1) of the Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Capital Market Personnel dated 15 September 2010, which are in
results in Montika and Thai to have prohibited characteristics of capital market personnel pursuant to the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited
.?? _______________________________Note: The misconduct of the five investment consultants were in violation of Clause 23(2) and 23(3), and liable to the prohibited characteristics of personnel in the capital market under Clause 31(1) of
.____________________________Note: The misconducts of the eight investment consultants and branch manager {I} were in violation of Clause 23(1) and were deemed prohibited characteristics of capital market personnel under Clause 31(1
Investment Consultant dated January 18, 2012; classified as prohibited characteristics of personnel in the capital market according to Clause 6(1) of the of the Notification of Capital Market Supervisory Board
: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012 as well as has prohibited characteristics under Clause 6(3) of the
Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No
shall be paid within ten days as from the date the SEC Office notifies the result of preliminary consideration that applicant possesses qualification and does not possess prohibited characteristics: (1
Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies. 23/05/2002 16/06/2002 Contact The Securities and Exchange Commission, Thailand 333/3 Vibhavadi
optimal use of digital assets https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8264 SEC public hearing on draft regulations related to services on privacy coins business licensees would be prohibited