Section 103 PAGE 2 Securities and Exchange Act B.E. 2535 Section 103. No securities company shall appoint or allow any person with any of the following prohibited characteristics to be or to perform

Section 103 Securities and Exchange Act B.E. 2535 Section 103. No securities company shall appoint or allow any person with any of the following prohibited characteristics to be or to perform the

(4) called by other names. Clause 7 Personnel in the capital market business performing functions under Clause 4(3) are persons holding the following positions, excluding the person under Clause 10: (1

indicating that {A} sent trading orders and afterwards informed his client's authorized person. Such authorized person did not reject the transactions. From the record, in addition, {A} specified details of

SEC Office under this Notification shall be in accordance with the following criteria except when granted a waiver from the SEC Office as deemed necessary and appropriate: (1) the person having duty

business for four years and eight months, starting from 12 January 2021.In considering a punitive measure, SEC takes into consideration the following factors: related roles and behaviors of the person(s

Bangkok, May 11, 2012 -  Following news relating to the SEC?s criminal complaints recently filed against certain persons that raised question whether the complaints would impact those persons

of any service required property for assurance; (3) other information which include the following information: (a)( financial status and asset profile in case of any https://publish.sec.or.th/nrs

without solicitation of investment in any of the following capital market products, and such person performs the duty as an investment analyst under a signatory member of the Memorandum of Understanding on

the appropriateness of investment, the objective of investment, the financial position or the demand of any specific person, and without solicitation of investment in any of the following capital market