Board TorThor/Nor/Khor 37/2553 Prohibited Characteristics of Personnel in Capital Market Industry 15/09/2010 01/10/2010 4. Notification of Capital Market Supervisory Board TorThor/Nor/Khor. 58/2552
dated January 18, 2012 which was the 3rd category prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board
”) had a https://market.sec.or.th/public/idisc/Download?FILEID=dat/news/201905/19047247.pdf Qualification%20of%20Derivatives%20Investment%20Analyst%20on%20Fundamental%20Factors.pdf possession of prohibited
%20Fundamental%20Factors.pdf possession of prohibited characteristics. − − ✓ 10 In case of applying for a new approval after completing revocation term due to possession of prohibited characteristics, the
of Prohibited Characteristics _______________ (Translation) -3- Part 1 Prohibited Characteristics _______________ Clause 3 Personnel in capital market industry shall not possess any prohibited https
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
digital assets for the benefit of another client or any other persons shall be prohibited and clients’ assets shall be reconciled every business day to ensure accurate and updated records of clients’ assets
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