possession of prohibited characteristics. − − ✓ 10 In case of applying for a new approval after completing revocation term due to possession of prohibited characteristics, the applicant must have the same
possession of prohibited characteristics. − − ✓ Remarks: 6 Application must be submitted within 5 years as from the expiration date of the previous approval. 7 A full course must have been taken for not more
consultants to make trading decision on their behalf and always submit trading orders via recordable channels. *Clauses 20(2) and (3) of the Notification No. TorLorThor. 3/2555 which were prohibited
. TorLorThor. 3/2555 and were the 3rd category prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor
prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of
compliance or exploit investors ? and integrity of directors and executives who must not have any prohibited characteristics.? The proposed rules also specify the qualifications of ICO portals whose roles are
, and specifying the fair value of SP shares without referring to the prices specified by the Association of Investment Management Companies. His demeanors above were liable to be prohibited
supervise financial business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
Market Business Personnel dated 3 June 2014, and the prohibited characteristics of the capital market business personnel in Group 3 under Clause 31(1) of the said Act.Since the approval period for
repeal of the trading lock-up rules whereby an offer for sale of shares that have been sold at a lower price than the SPO price are prohibited. This is to enhance the SPO process and allow an appropriate