renewal of approval, provided that the SEC Office has never issued any order or disclosed information concerning incompetence in performance of duty or possession of the prohibited characteristics under the
-DERI.pdf 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
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 in the https://www.sec.or.th/EN
a physical short sale transaction is also prohibited. However, a Covered Fund may borrow or engage 4 https://publish.sec.or.th/nrs/9022ae0.pdf คำอธิบายประกอบการจัดทำแบบ RLA สินทรัพย์ดิจิทัล และ ผู้
or not, are exempted from obtaining digital asset business licenses. Additionally, digital asset exchanges, digital asset brokers, and digital asset dealers are prohibited from providing services
be prohibited from conducting transactions with individuals or digital asset wallets on this list; - Requiring commercial banks, telephone and telecommunications network providers, social media
criminal complaint has resulted in the alleged offenders having untrustworthy characteristics and being prohibited from holding the positions of director and executive of securities issuing companies and
. _____________________________Remarks: * Pursuant to Clause 23(1) and 23(2) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No
listed companies pursuant to the SEC Notification*. Consequently, they are prohibited from holding such positions pursuant to the SEA. In addition, the misconduct in this case may be liable to be a
, since the suspension as investment consultant is a prohibited characteristic of capital market personnel in Group 2 under Clause 30(4)(a) of the Notification of the Capital Market Supervisory Board No