a listed company; (3) being considered under an accusation or criminal proceedings by an agency with legal authority for an offense related to unfair activities against derivatives or securities
imposed the civil monetary penalty in the first incident, which was an offense prior to the effective date of the Securities and Exchange Act (No. 5) B.E. 2559 (2016). As a result, Boonchai was deemed to
) Prasopsuk, (14) Thanaris, (15) Audcharapron, and (16) Phuthitorn) constitute an offense of colluding to manipulate securities price under Section 244/3(1)(2) in conjunction with Section 244/5 and/or Section
) O No (4) Was dismissed, discarded or ejected from work because of misconduct: O Yes (please specify) For example, date of being dismissed, discard or ejected from work …… By company/office
dismissed, discarded or ejected from work because of misconduct: O Yes (please specify) For example, date of being dismissed, discard or ejected from work …… By company/office ……………………………….…….………. Detail of
application for approval for offer for sale of the debt securities, the applicant had been subject to a final court judgment on the basis of an offense related to assets particularly due to deceitful
by a final judgement in an offense concerning property, only for a cause arising from a deceitful, fraudulent or dishonest act that results in widespread damage, either under Thai or foreign laws; (3
by the Notification of the SEC or the Office, the securities company shall collect the relevant data and notify the Office within seven days from the date of acknowledgement of such misconduct. Clause
from the date of acknowledgement of such misconduct. Clause 13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with
the SEC or the Office, the securities company shall collect the relevant data and notify the Office within seven days from the date of acknowledgement of such misconduct. Clause 13. The securities