characteristics of directors and executives of securities issuers and listed companies while he is subject to the complaint and subsequent legal action.In any case, filing a criminal complaint commences the

prevent holding company from having characteristics similar to investment company, the SEC specifies that the size of core business and other businesses that holding company holds shares, when compared with

. Selling agent must comply with specified criteria, for example, selling agent must examine investor?s characteristics before offering for sale of the product to ensure that the offer has been made to

. -------------------------------- Note: * {A} violated Clause 23(2), and {B} Clause 23(1), both being the prohibited characteristics of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory

and Exchange Commission No. Kor Jor. 3/2560 Re: Determination of Untrustworthy Characteristics of Company Directors and Executives dated 23 January 2017.

for ten years, starting from June 23, 2011.As Chalerm was penalized while he acted as a branch manager, he was deemed having prohibited characteristics for securities and derivative business personnel

, as Chalerm?s misconduct occurred while he was a branch manager of securities company, the above sanction caused him to have prohibited characteristics of personnel and executives in securities and

have prohibited characteristics of capital market personnel pursuant to relevant regulations as long as he is subject to the complaint and the subsequent procedure, which caused his approved status to

offenders had refused to enter the settlement process. In addition, Nongluck and Adirek, as approved investor contact, are deemed to have prohibited characteristics of capital market personnel pursuant to

the Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Personnel in Capital Market Industry dated 15 September 2010, which is deemed a