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
does not possess prohibited characteristics pursuant to the law governing securities and exchange and notifications issued by virtue of the said law. The letter of certification shall be signed by the
in violation of the rule whereby securities selling or allocation to directors, executives and related parties of the responsible underwriter is prohibited to prevent such persons from taking unfair
November 14, 2007, and for six months from May 1 to October 31, 2007, respectively. These suspensions caused Jaturada and Viboon to have prohibited characteristics of securities company personnel as
specified by the SEC; (4) Have qualified major shareholders and management with no prohibited characteristics; (5) Have good and efficient management system; (6) Have efficient internal control procedures
Bangkok, February 15, 2012 ? The SEC has revoked approval for Maris Tarab and Burim Chombhubol as fund manager and prohibited them from re-entering the industry for 10 years, starting from February
any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly without professional due care is in violation of Clause 23(2) and he is deemed to have the prohibited
is prohibited by other laws;2.Approval criteria for a trustee, who will be entrusted to manage the trust?s assets, to ensure that they are capable and qualified to carry out the responsibilities
license application, (2) having at least one director who has at least three years of relevant experience, (3) having major shareholders and executive officers who possess no prohibited characteristics as