prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the
capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014, as
personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated
responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
The action follows the revocation of Renaissance FMC’s securities business and derivatives business licenses due to conduct demonstrating a lack of credibility, operational readiness, and serious
credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such
failure to comply with the Notification of the Capital Market Supervisory Board.** SEC has therefore prohibited Prapai from performing duties as branch manager in charge of capital market business and
committing misconduct. {B}’s act was deemed a failure to comply with the Notification of the Capital Market Supervisory Board.** SEC has therefore prohibited {B} from performing duties as branch manager in
coverage lapsed. Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market
employers. On 29 April 2020, Finance Minister Uttama Savanayana issued the Notification of the Finance Ministry concerning Determination of Business Types, Duration and Conditions for Employees or Employers