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
qualification and do not have prohibited characteristics as specified in the Notification of the SEC Office3; The provision in the first paragraph shall also be applicable to a director, a manager and a partner
Association of Thai Securities Companies (ASCO)1. The SEC therefore revoked the approval of Auracha as securities investment consultant and prohibited her re-entry as capital market personnel for 10 years
consultant and prohibited her re-entry as capital market personnel for 10 years, starting from December 22, 2015. On other cases, Nattapon was found accepting orders to trade securities in a client?s account
. In this Notification: (1) The term “Executive” shall have the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics
Notification: (1) The term “Executive” shall have the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and
the Notification of the Capital Market Supervisory Board concerning Prohibited Characteristics of Personnel in Securities Business; (12) “derivatives business personnel” mean personnel in derivatives