Personnel in Capital Market dated June 3, 2014; classified as prohibited characteristics of personnel in capital market according to Clause 31(1) of the same Notification. Meanwhile, {A}, then a branch
qualification and prohibited characteristics of director and executive of securities company; “manager of infrastructure fund” means infrastructure fund manager and fund manager; “infrastructure fund” means
approval as securities investment consultant. However, the approval as securities investment consultant for Nattapong has already expired since 31 December 2018. SEC has therefore prohibited him from re
the Capital Market Business Clause 4 Personnel in the capital market business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited
business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may
shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may be, as prescribed in this Notification: (1) managing, determining
banned Ravi from holding the position of director or executive at any issuing or listed companies for one year.* ________________________________ *In compliance with the Notification of the Securities
order, the two offenders have become persons possessing untrustworthy characteristics and subsequently banned from the position of director or executive at any securities issuing company or listed company
-osoth, (2) Ms. Poramaporn Prasarttong-osoth, and (3) Mrs. Narumon Chainaknan. The offenders were subject to pay civil penalties at the total amount of 499.45 million baht. In addition, they will be banned
submit the total amount of the civil penalties and the compensation to the Ministry of Finance as public revenue. Apart from the civil sanction, the SEC banned Sarath from holding the position of director