. 37/2553 re: Prohibitions for Personnel of Business Operators dated September 15, 2010. The actions were in violation of Clauses 23(2) and the prohibited characteristics of the personnel in the capital
Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of Business Operators dated September 15, 2010. The actions were in violation of Clauses 23(1) and (2) and the
Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of Business Operators dated September 15, 2010. The actions were in violation of Clause 23(1) and the prohibited characteristics of
million in 2009, respectively.Their actions were in violation of Sections 312 and 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) in conjunction with Sections 83 and 86 of the Penal Code
: Prohibitions for Personnel of Business Operators dated September 15, 2010. The actions were in violation of Clause 23(2) and (3) and the prohibited characteristics of the personnel in the capital market business
the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of Business Operators dated September 15, 2010. The actions were in violation of Clauses
September 15, 2010. The actions were in violation of Clauses 23(1) and (2) and the prohibited characteristics of the personnel in the capital market business under the 3rd category of Clause 31(1) of the
instructions from the clients. They cannot make securities trading decisions on behalf of clients, regardless of the client's permission. In this regard, the actions of {B} and {A} were deemed as obtaining