prohibited from trading securities on the Stock Exchange or over-the-counter trading centers or entering into derivatives contracts on the Derivatives Exchange for one year and six months, and banned from
provide services with loyalty, affecting the reliability of capital market business personnel in a significant manner, which is considered a prohibited characteristic of the capital market business
, the SEC will file a criminal complaint for further legal proceedings. Due to his misconduct, {A} is deemed to have prohibited characteristics of capital market personnel as specified in the
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