has caused the aforesaid persons to be liable to have untrustworthy characteristics as director or executive, and prohibited characteristics of director or executive of listed company on the Stock
SEC Office shall have the authority to specify the timeframe or conditions for its consideration of subsequent applications by taking into account the significance of the prohibited qualifications
, manager or person with managerial authority who is responsible for the applicant’s undertaking of securities business has qualifications and does not have any prohibited characteristics under Section 103
prohibited under section 126(1) and section 139(5), as the case may be; (1) Management company obtained the soft commission from any person for its own account, deriving from the service offered by such person
which prohibited under section 126(1) and section 139(5), as the case may be; (1) Management company obtained the soft commission from any person for its own account, deriving from the service offered by
Clause 5. The following operations of management company are the acts that may create conflict of interest to unitholders or the clients which prohibited under section 126(1) and section 139(5), as the
house as required by such clearing house. In this regard, any offsetting position between clients is prohibited. Clause 7 A derivatives broker shall not lend money to clients for a purpose of depositing
, any offsetting position between clients is prohibited. Clause 7 A derivatives broker shall not lend money to clients for a purpose of depositing margin for derivatives trading. 5 Repealed and replaced
the loan to the Company under Sect ion 90/12 (9) of Bankruptcy Act B.E. 2483 (1940) prohibited GSTEL from making any disposal, distribution or transfer, grant a lease, make repayment of debt, create