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

responsibibly and carefully as professional under Clause 23(2), which are deemed prohibited characteristics of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory

in the Thai capital market under certain limitations and clearly defined conditions. In this regard, the SEC Board would have the power to exempt businesses with certain characteristics from being

/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Capital Market Business Personnel dated 15 September 2010, which is non-compliance with Clause 23(5) and a prohibited characteristic of capital market

, permissible to be offered to institutional investors and high net worth investors, either directly or through intermediaries. Due to the instruments? characteristics of high risk and complexity, the investment

criminal complaint against {A} with the DSI for further legal proceedings.In this connection, {A} is deemed as having untrustworthy characteristics of a publicly held company director and executive