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
. Notification of the Securities and Exchange Commission KorThor/Nor/Khor 4/2548 Qualifications and Other Prohibited Characteristics of Executives of Securities Companies (Synopsis) 17/01/2005 01/03/2005 2
Prohibited Characteristics of Personnel in Capital Market Industry 15/09/2010 01/10/2010 4. Notification of Capital Market Supervisory Board 85/2552 03/08/2009 01/09/2009 5. Notification of Capital
/ActandRoyalEnactment/Act/act-sea1999-no2.pdf (Translation) of qualifications or possession of prohibited characteristics under Section 21; (5) 4 termination by the Cabinet’s resolution upon recommendation of the SEC, as