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
audit firm shall have the characteristics as prescribed in Clause 11; (7) not possessing any prohibited characteristics as prescribed in Part 3. Clause 11 The audit firm whose auditors have been approved
concerning Approval of Auditors in Capital Market. 3 “executive” means an executive under the Notification of the Capital Market Supervisory Board concerning the Qualification and Other Prohibited
Board concerning the Qualification and Other Prohibited Characteristics of Directors and Executives of Securities Company or under the Notification of the Capital Market Supervisory Board concerning the