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
. 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