been amended to be more in line with the needs and risk characteristics; (4) Distributed Ledger Technology (DLT): To develop a digital infrastructure based on DLT concept for securities offering
must not have untrustworthy characteristics and must perform fiduciary duty; 4. Shares must be sold through an intermediary that is responsible for conducting know-your-customer screening
market business personnel for 10 years, starting from 10 February 2018. ___________________ *Violation of Clause 23(1) and possessing the prohibited characteristics of capital market business personnel
. Kor Jor. 3/2560 Re: Determination of Untrustworthy Characteristics of Company Directors and Executives dated 23 January 2017.
Notification of the Securities and Exchange Commission No. Kor Jor. 3/2560 Re: Determination of Untrustworthy Characteristics of Company Directors and Executives dated 23 January 2017.
Untrustworthy Characteristics of Company Directors and Executives dated 23 January 2017.
Characteristics of Company Directors and Executives, dated 23 January 2017, which was issued by the virtue of Section 89/3 and Section 89/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the
benefits for himself and the others and exploiting client assets, is deemed failure to perform duties or provide services with loyalty, which are considered prohibited characteristics of capital market
Criminal Fining Committee thus fined him 500,000 baht.Such fine penalty has caused him to possess untrustworthy characteristics of directors and executives of securities issuers and listed companies. The SEC
from being capital market personnel and considered lacking trustworthy characteristics of directors and executives of issuing companies. Thus, the SEC revoked the approval as securities investment