: *Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the
Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market
. 1 Amended by the Notification of the Securities and Exchange Commission No. Kor Yor. 29/2549 Re: Re: Determining Proportion of Directors of Derivatives Exchange and Prohibited Characteristics of
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, starting from 1 February 2018. In addition, since {B} is also a branch manager of the bank, she is prohibited from functioning as branch manager responsible for capital market business of any bank or
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: Clauses 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 and prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification
following qualifications: Being (1) securities companies having license to operate securities brokerage business or securities dealing business (which is not limited only to debt instrument dealing
Section 103 PAGE 2 Securities and Exchange Act B.E. 2535 Section 103. No securities company shall appoint or allow any person with any of the following prohibited characteristics to be or to perform
Section 103 Securities and Exchange Act B.E. 2535 Section 103. No securities company shall appoint or allow any person with any of the following prohibited characteristics to be or to perform the