of more than 75 percent of all voting shares; (12) a foreign investor of similar characteristic as the persons defined under Section 3 of the Derivatives Act, B.E. 2546 (2003) or those under (1) to (11
. ___________________________ Note: The misconduct of the investment consultants, one of whom was also branch manager, is a violation of Clause 23(2), and a prohibited characteristic of capital market personnel under Clause 31
. _____________________________Remark: * Clause 23(2) and deemed to be the prohibited characteristic of the personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor
banks - 59.18 (59.18) n.a. Trade and other payables 233.68 286.57 (52.89) (18.46) Details 31 Mar 2018 31 Dec 2018 Increased (Decreased) % Service income received in advance 356.83 422.43 (65.60) (15.53
as specified in Division 3 of this Chapter. Clause 8 1 After the SEC Office has already received the complete and accurate application together with the evidentiary documentation as prescribed in the
to the benefits received or would have been received, reimbursements of investigative expenses incurred by the SEC, and a bar from serving as director or executive in securities issuing companies or
characteristic of the personnel in the capital market business under Clause 31(2) of the Notification No. TorLorThor. 8/2557 which has been promulgated in replacement of the said four notifications.Clause 3(15) of
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or
the Civil Sanction Committee. The civil monetary penalties totalled 1,567.70 million baht and the compensations for the benefits received or should have been received totalled 194.32 million baht. The