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
, filed a criminal complaint with the Department of Special Investigation (DSI) for further legal proceedings. As a result, Surasak is deeemed to possess untrustworthy characteristics and therefore banned
violation of Clause 23(1) and (2) of No. TorLorThor. 8/2557 dated June 3, 2014. The violation of Clause 23(1) and (2) in conjunction with participating in dishonest conducts were prohibited characteristics of
addition, B/E characteristics are unsuitable for issuance in the form of structured product. It thus should be under strict regulation to protect investors while offering other alternatives for fund
buyers. In addition, B/E characteristics are unsuitable for issuance in the form of structured product. It thus should be under strict regulation to protect investors while offering other alternatives for