Board No. TorThor/Nor/Khor. 87/2552 Re: Qualifications and Prohibited Characteristics of Directors and Executives of Derivatives Business Operators (Codified) By virtue of Section 18 and the first
therefore revoked the approval as a capital market investment consultant and banned him from re-applying for an approval as capial market personnel for 10 years, starting from 21 October 2017.Apple Wealth
therefore revoked the approval as a capital market investment consultant and banned him from re-applying for an approval as capial market personnel for 10 years, starting from 21 October 2017. Apple Wealth
damage at the amount of 20,000 baht. SEC has considered that Sorrapon failed to perform duties with loyalty* by committing wrongful acts against the investor’s asset, which was deemed a prohibited
similar manner as custody of digital assets; 2) Custody of fiat money and digital assets: the use of a client’s assets for the benefit of another client or other persons shall be prohibited and clients
. Notification of the Office of the Securities and Exchange Commission No. SorKhor. 22/2553 Re: Prohibited Characteristics of Directors, Executives and Major Shareholders of Trustees
prohibited characteristics under Clause 3(13) of the SEC Office Notification No. KorThor/Nor/Khor. 3/2548 Re: Prohibited Characteristics of Securities Business Personnel dated January 17, 2005 and Clause 3(13
persons are: (1) {A}, (2) {B}, (3) {C}, (4) {D}, and (5) {E}. The SEC has also banned the persons in (2) - (4) from performing duties as a branch manager in a business related to capital market. All of the
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
. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for