Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor
amount equal to the benefit received or that should have been received, and a reimbursement of investigative expenses incurred by the SEC, totaling 5,379,046 baht, and shall be prohibited from trading
whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited
is prohibited from trading securities or derivatives for 14 months and from serving as director or executive for 28 months; (2) Vichan is required to pay a civil monetary penalty and a reimbursement
Bangkok, 14 August 2018 ? The SEC has announced selection process for next Secretary-General. Candidates must have qualifications and shall not possess any prohibited characteristics. The SEC Board's
misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of
Bangkok, July 29, 2011 ? The SEC has announced selection process for new Secretary-General. Candidates must have qualifications and shall not possess any of the prohibited characteristics. The SEC
independent directors at least one fourth of all directors, providing that the independent directors are subject to the specified qualifications and prohibited characteristics. In this juncture, certain waivers
examinations recognized by the SEC and have work experience in preparing technical analysis researches. Also, they must not possess any prohibited characteristics of personnel in capital market. The consultation