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

Act B.E. 2546 (2003) and Clause 2 of the Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 87/2552 Re: Qualifications and Prohibited Characteristics of Directors and Executives

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

. 3. The securities company permitted a person having prohibited characteristics to be its executive and failed to report to the SEC. In the past, such person was suspended from duty of marketing

, 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

investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years

internet banking system to transfer 2,000 baht from a client's account into his own without the client's authorization. {D}'s actions were deemed to be prohibited characteristics of investor contacts in

Operators to Perform Duties of Analyzing 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

:   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