insurance company in charge. SEC has considered that Sarunya, whose license as life insurance broker and agent had been revoked by OIC for performing duties dishonestly, was deemed to have a prohibited
, the proposed amendments to the prohibited characteristics of major shareholders to provide greater clarity and to better reflect current risk developments. Key aspects include expanding the scope of
(2018). Under the proposal, the qualifications or prohibited characteristics of digital asset business license applicants, their directors and major shareholders under Clause 3* (10), (11), and (12) (b
pay interest, constituting an offense. The Investment Committee is considered to have the prohibited characteristics to act as personnel in the capital market business.** The SEC has suspended Mr
who found that the client?s account was used for securities trading while the client was sick and did not trade any securities. Although forbidden by the client, Kruawan continued trading securities
Prohibited Characteristics of Directors, Executives and Major Shareholders of Trustees
approval for him as capital market business personnel for four years, starting from 29 January 2021. As a result, he is also banned from holding the positions of director and executive of capital market
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
persons are: (1) {A}, (2) {B}, (3) {C}, (4) {D}, and (5) {E}. The SEC has also banned the persons in (2) - (4) from performing duties as a branch manager in a business related to capital market. All of the