against them with the DSI for further legal proceedings.During the legal proceedings, {A} and {B} are deemed as having prohibited characteristics of capital market personnel and untrustworthy
their clients from their own assets. Additionally, investment token issuers would be prohibited from seeking benefits from their clients’ DA under custody. The consultation paper is available at https
undertaking derivatives business and such person has qualified and not possessed any prohibited characteristics as stipulated by the Notification concerning personnel . Clause 4 In case an intermediary has
derivatives business and such person has qualified and not possessed any prohibited characteristics as stipulated by the Notification concerning personnel. Clause 4 In case an intermediary has appointed the
/01/2005 01/03/2005 2. Notification of the Securities and Exchange Commission KorThor/Nor/Khor 4/2548 Qualifications and Other Prohibited Characteristics of Executives of Securities Companies (Synopsis
/01/2005 01/03/2005 2. Notification of the Securities and Exchange Commission KorThor/Nor/Khor 4/2548 Qualifications and Other Prohibited Characteristics of Executives of Securities Companies (Synopsis
/01/2005 01/03/2005 2. Notification of the Securities and Exchange Commission KorThor/Nor/Khor 4/2548 Qualifications and Other Prohibited Characteristics of Executives of Securities Companies (Synopsis
least 2 persons shall be lead appraisers obtaining approval from the SEC; Not appearing that the applicant possesses prohibited characteristics as prescribed; Not appearing that its directors, manager and
orders from such client. They just submitted trading orders as directed by {A}. Furthermore, they had never conducted KYC/CDD for the client because {A} prohibited them from doing so. Also, {B} received
.49/2552 and Clause 20(2) of the Notification No. TorLorThor. 3/2555 was the 3rd category of prohibited characteristics of the capital market business personnel under Clause 6(1) of the Notification of