. 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
(Oldest) DRAFT director of the derivatives exchange shall be vacated from his office upon: (1) possession of any prohibited characteristics under Section 61; (2) removal by the SEC due to gross incompetent
: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012; classified as prohibited characteristics of personnel in the
sentiment driving the SET index and trading values to soar. The securities companies will be required to strictly and cautiously exercise their KYC/CDD and review of client credit line practices, especially
วิเคราะห์ทางเทคนิค ซึ่งต้องแสดง ภาพกราฟหรือแจ้งชื่อทฤษฎีที่ใช้ โดยต้องระบุ อย่างชัดเจนว่าเป็นการวิเคราะห์ทางเทคนิค ซึ่งต้องเป็นไปตามบทวิเคราะห์ของผู้ประกอบธุรกิจ ( ( ( ให้ความเห็นเกี่ยวกับ market sentiment
performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may be, as
use of a client’s assets, fiat money and digital assets for the benefit of another client or any other persons shall be prohibited and clients’ assets shall be reconciled every business day to ensure
Operator to Perform Duties of Analyzing Investment and Giving Investment Advice dated 18 January 2012, which is deemed a prohibited characteristic of capital market business personnel under Clause 6(1) of