, 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
, the Office shall have power to proceed as follows: (1) In cases where a company or an offer for sale of warrants and underlying shares has characteristics or meets criteria or conditions to obtain an
audit firm shall have the characteristics as prescribed in Clause 11; (7) not possessing any prohibited characteristics as prescribed in Part 3. Clause 11 The audit firm whose auditors have been approved
investment scheme. “foreign collective investment scheme” means a collective investment scheme that has any of the following characteristics, and has similar characteristics of a mutual fund but without major
discharged the executive or personnel responsible for the cause of prohibited characteristics of the applicant. 4.6 Having not deliberately concealed the financial status or the operating result during the
business operation in the category of derivatives broker; “futures” means a contract trading on the derivatives exchange with any one or more of the following characteristics: (1) a contract in which a party