, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully exploitable management, nor having such offense record during the period as specified by the SEC
action against or being punished in the past according to the management in the manner of deception, defraud or dishonest to properties as prescribed in Clause 25; (3) prohibited characteristic of Group 3
can demonstrate that it can perform such duties; The structure of board of directors have sufficient checks and balances; Directors/ executives/ controlling persons must not have untrustworthy
offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an
offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an
committed an offense under Section 89/25*, for example, taking the assets of the juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening
higher risk level in buying financial products with a higher risk than the client’s risk profile. SEC has considered the case and viewed that Somchai had behaviors with dishonest implication, affecting the
juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening or falsifying documents. In addition, SEC has prescribed a procedure for
(3) Mr. Monthon Chatuwallopkul, jointly failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused damage to UWC or deprived UWC of
and (3) Mr. Monthon Chatuwallopkul, jointly failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused damage to UWC or deprived UWC