trading orders were submitted via LINE.Failure to keep complete record of the securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of
securities outside the stock exchange if abiding by the regulations, conditions and procedures set by the SEC Office. Earlier, the law prohibited such companies to trade securities outside the stock
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
business licensees would be prohibited from providing services related to privacy coins to prevent misuse of digital assets as a tool for committing a crime. After conducting a public hearing on the matter
accordance with the specified qualifications and prohibited characteristics. In addition, the revised rules require directors and managers of securities and derivatives business operators to pass training
trust (REIT) or infrastructure fund (IFF) exceeding the specified proportion. As a result, FA will be prohibited from providing service in connection with securities offering or REIT or IFF establishment
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
exceeding four persons appointed by the Minister of Finance as proposed by the Nomination Committee. Expert Board members must have qualifications and do not possess any prohibited characteristics as
resolution shall not have been passed more than one year. Public advertisement is prohibited. Promotion materials can only be distributed only in the PP cycle. Must not co-sign the filing to allow PP
exceeding four persons appointed by the Minister of Finance as proposed by the Nomination Committee. Expert Board members must have qualifications and do not possess any prohibited characteristics as