consultant and prohibited him from re-entering the industry as capital market personnel for 10 years. In cases where any offender fails to pay the fine within deadline set by the Criminal Fining Committee
responsibibly and carefully as professional under Clause 23(2), which are deemed prohibited characteristics of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory
. ---------------------------------------- Note: * Clause 23(2), which specifies a prohibited characteristic of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re
prohibited characteristic of capital market personnel pursuant to Clause 31(1) of the said Notification.
violation of Clause 23(1) and (2) of No. TorLorThor. 8/2557 dated June 3, 2014. The violation of Clause 23(1) and (2) in conjunction with participating in dishonest conducts were prohibited characteristics of
not allow transfer of holders or if not prohibited, a warning must state clearly the limitations of the transferor?s responsibility. In addition, B/E as securities must not be derivatives embeded and
risks, B/E must not allow transfer of holders or if not prohibited, a warning must state clearly the limitations of the transferor?s responsibility. In addition, B/E as securities must not be derivatives
. {B}, an investor contact and branch manager of Siam City Securities Co., Ltd., is suspended and prohibited from performing duties as securities firm executive for two months on account of trading
and prohibited him from performing duties of securities company executives for two years. (4) {D}, an investor contact of KTB Securities Co., Ltd., provided a trading account for Sippakorn to trade